ROTHSCHILD INVESTMENT CORPORATION
ROTHSCHILD INVESTMENT LLC Legal Name
Adviser information for ROTHSCHILD INVESTMENT CORPORATION last updated from Form ADV on March 27th, 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 | 40 |
|---|---|
| Investment Advisory/Research | 20 |
| Registered Broker-Dealer Representatives | 25 |
| Registered State Investment Advisers | 20 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,193 | $2.0B |
| Non-Discretionary | 18 | $31.4M |
| Total | 2,211 | $2.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,662 | $453.9M |
| HNW Individuals | 453 | $1.2B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 46 | $38.2M |
| Charitable organizations | 12 | $9.5M |
| 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 | 38 | $259.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 80 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-7395 |
|---|---|
| SEC ERA File Number | 801-7395 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 728 |
| Legal Entity Identifier | None |
Principal Office
311 SOUTH WACKER DRIVESUITE 5900
CHICAGO
IL
United States
Monday - Friday, 8:30 AM TO 4:30 PM
Tel: 312-983-8900, Fax: 312-983-8959
Websites
Chief Compliance Officer
CURTIS ELLERGODT
CFO,COO
311 SOUTH WACKER DRIVE
SUITE 5900
CHICAGO
IL
United States
Tel:
630-448-5711
Fax:
312-983-8959
C*********@****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ROTHSCHILD WV II, LP | Venture Capital Fund | $1.5M | $0.0M | 9 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SOLOMON, JOEL EDWARD | Individual | – | MEMBER, OFFICER | 10/2022 | < 5% |
| JOHNSON, PHILLIP EUGENE | Individual | – | MEMBER, PRESIDENT | 09/2023 | < 5% |
| FRANKE, JAMES ALLYN | Individual | – | MEMBER, OFFICER | 09/2023 | < 5% |
| ROTHSCHILD HOLDINGS, LLC | Domestic Entity | – | OWNER | 11/2023 | > 75% |
| ELLERGODT, CURTIS ROBERT | Individual | – | FINOP | 12/2023 | < 5% |
| LENART, BRIAN DOUGLAS | Individual | – | CCO/AMLCO | 01/2024 | < 5% |