Rosecap Investment Advisors, LLC
Firm details
- Headquarters
- Grand Junction, Colorado
- CRD number
- 152054
- Registered since
- March 5, 2020
- Website
- rosecap.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM
- Client types
- HNWI80.83%
- Individuals13.51%
- Corporations / Businesses3.89%
- Charitable Organizations1.77%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsEducational Seminars / Workshops
Firm profile
FINTRXOverview
Rosecap Investment Advisors, LLC is an independent, SEC-registered RIA formed in 2020 and structured as an LLC. The firm serves both individual/family and institutional clients and charges fees based on a percentage of assets under management. Core services include financial planning, discretionary portfolio management for individuals, small businesses and institutions, plus educational seminars and workshops. Rosecap does not self-identify as an active ESG investor and is not a multi-state adviser. The firm appears positioned as a traditional adviser focused on equity exposure delivered largely through liquid instruments, while also using third-party managers for select alternative allocations. It lists an accounting affiliation, which suggests a practice that integrates tax/accounting considerations into client advice or collaborates closely with accountants.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities75%
- Public Funds/Mutual Funds18%
- State & Local Bonds4%
- US Government Bonds3%
- Investment Grade Corp Bonds1%
Owners & executives
1 of 1
Autumn Schultz
Chief Compliance OfficerCRD 7307266
Contacts
3 of 4
Matthew Rosenberg
PresidentCRD 5737037
Sarah Graff
Financial AdvisorCRD 7641859
Heather Holtzinger
Financial AdvisorCRD 2717242
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 279Active vs passive
$535M in ETFs
87%
$465M
12%
$70.1M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| STATE STREET(R) SPDR(R) PORTFOLIO S&P 1500(R) COMPOSITE STOCK MARKET ETF (SPTM) | State Street | Passive | Large Blend | $78M | 858,575 | 14.56% |
Location
Grand Junction, CO
Mesa
Location
Grand Junction, CO
Headquartered in Grand Junction, CO, in the West of the United States.
- Region
- West
- County
- Mesa
- Address
- 200 Grand Ave
- Time zone
- MT (UTC-7)
- Office locations
Similar firms
Delphi Wealth Partners
RIAGrand Junction, CO
CLC Capital Management
RIAGrand Junction, CO
One Bow River Advisers, LLC
RIAColorado Springs, CO
Denver Wealth Management, Inc.
RIADenver, CO
Denver Pwm, LLC
RIADenver, CO
Crescat Portfolio Management LLC
RIADenver, CO