ROSE SMART GROWTH INVESTMENT ADVISORS, LLC
Adviser information for ROSE SMART GROWTH INVESTMENT ADVISORS, LLC last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 55 |
|---|---|
| Investment Advisory/Research | 55 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 7 | $2.0B |
| Non-Discretionary | 0 | $0 |
| Total | 7 | $2.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 7 | $2.0B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesACQUISITION, REFINANCING & DISPOSITION FEES |
Identifiers
| SEC RIA File Number | 801-73867 |
|---|---|
| SEC ERA File Number | 801-73867 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 161271 |
| Legal Entity Identifier | None |
Principal Office
551 FIFTH AVENUE, 23RD FLOORNEW YORK
NY
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 917-542-3600, Fax: 917-542-3601
Chief Compliance Officer
CAROLYN AU
CHIEF OPERATING OFFICER
551 FIFTH AVENUE, 23RD FLOOR
NEW YORK
NY
United States
Tel:
917-509-0260
Fax:
917-542-3601
C**@****************M
(Full email address available in API data)
Regulatory Contact
VIRGINIA PLITHIDES
FINANCIAL DIRECTOR
551 FIFTH AVENUE, 23RD FLOOR
NEW YORK
NY
United States
Tel:
917-542-8625
Fax:
917-542-3601
G****@****************M
(Full email address available in API data)
Industry Affiliates
| MISSION TITLE AGENCY, LLC | Insurance company or agency |
| ROSE HOUSING PRESERVATION INVESTORS IV, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ROSE HOUSING PRESERVATION INVESTORS V, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ROSE HOUSING PRESERVATION INVESTORS VI, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ROSE HOUSING PRESERVATION INVESTORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ROSE AFFORDABLE HOUSING PRESERVATION FUND LLC | Real Estate Fund | $89.2M | $0.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROSE, JONATHAN, F.P. | Individual | – | CHIEF EXECUTIVE OFFICER | 02/2006 | < 5% |
| ROSE COMPANIES HOLDINGS, LLC | Domestic Entity | ROSE COMMUNITY HOLDINGS, LLC | SOLE MEMBER | 06/2017 | > 75% |
| ROSE COMMUNITY HOLDINGS, LLC | Domestic Entity | – | MANAGING MEMBER | 06/2017 | > 75% |
| JFPR INVESTMENTS, LLC | Domestic Entity | ROSE COMPANIES HOLDINGS, LLC | MANAGING MEMBER | 06/2017 | > 75% |
| ROSE, JONATHAN, F.P. | Individual | JFPR INVESTMENTS, LLC | SOLE MEMBER | 06/2017 | > 75% |
| AU, CAROLYN | Individual | – | CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER | 12/2022 | < 5% |