Rose Smart Growth Investment Advisors, LLC (New York)

Name: Rose Smart Growth Investment Advisors, LLC
Address: 551 Fifth Avenue, 23 Rd Floor, New York, NY, 10176
Telephone: 917-542-3600

Rose Smart Growth Investment Advisors, LLC is a large advisory firm based in New York. It manages $964.28 million of regulatory assets for 11 client accounts. It has been registered with the SEC as an adviser since 2012.

Rose Smart Growth Investment Advisors provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Rose Smart Growth Investment Advisors: assets under management

The assets under management (AUM) of Rose Smart Growth Investment Advisors, LLC is $964.28 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 500% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $964.28 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $87.66 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rose Smart Growth Investment Advisors, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Rose Smart Growth Investment Advisors serves?

The only and largest group of clients of Rose Smart Growth Investment Advisors is pooled investment vehicles with 11 clients and $964.28 million of assets under management. Among the 10 most similar advisory firms, Rose Smart Growth Investment Advisors has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $964.28 million for 11 clients. None of the firm’s clients are foreign persons or businesses.

Rose Smart Growth Investment Advisors also advises several private funds. Namely, nine real estate funds. The minimum investment commitment required of non-related persons ranges from $0 to $5,000,000.

Careers at Rose Smart Growth Investment Advisors, LLC

The company employs 38 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Llc Rose Companies Holdings joined the executive team most recently as the Sole Member.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Jonathan F.P. Rose	Chief executive officer	1 Feb 2006	75% - 100%	6024719
Thomas Patrick Loftus	Chief financial officer	1 Feb 2006	Other	1204641
Gwen Rowden	Managing director	1 Jan 2009	Other	6024718
Virginia Margaret Plithides	Chief compliance officer and director of finance	1 Oct 2010	Other	2137224
Michael Dennis Daly	Chief operating officer	1 Mar 2014	Other	6708059
Sanjay Chauhan	Chief financial officer	1 Dec 2014	Other	6465563
Michael Jhett Arman	Chief compliance officer and chief financial officer	1 Sep 2016	Other	3069634
Llc Rose Community Holdings	Managing member	1 Jun 2017	75% - 100%	81-5123846

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Llc Rose Companies Holdings	Sole member	1 Jun 2017	75% - 100%	30-0940944
Llc Jfpr Investments	Sole member	1 Jun 2017	75% - 100%	38-4003866
Jonathan F.P. Rose	Sole member	1 Jun 2017	75% - 100%	6024719

Based in New York

The principal office where Rose Smart Growth Investment Advisors, LLC performs its advisory services is located at 551 Fifth Avenue, 23 Rd Floor, New York, NY 10176, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 917-542-3600 or by fax 917-542-3601. The normal business hours are 9:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at rosecompanies.com.