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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

ROSS, SINCLAIRE & ASSOCIATES, LLC

CRD 25440

CINCINNATI, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1d0b8cfb-0151-8728-9d90-545492852a77

Data as of Mar 31, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 6
On other graphs: 0
Observed: Mar 28, 2012 to Mar 31, 2021
47 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $354MItem 5.F on the latest filing (2021-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $354M
Private client RAUM: $348MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 4
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 808
Individual clients: 684
High net worth clients: 116
Custody, client assets: $62.1M
SEC number: 801-78513
CRD: 25440
Filings on the tape: 47
First filed: Mar 28, 2012
Latest filed: Mar 31, 2021
Organised: Limited Liability Company, Ohio

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
SINCLAIRE, MURRAY	OWNER/FOUNDER/CCO	E	yes	01/2008	Mar 28, 2012	Mar 31, 2021

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Dayton	Oh	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 31, 2021	$354M	$354M	7	4	1	n/a	n/a
2019	Feb 26, 2020	$835M	$803M	20	11	4	n/a	n/a
2018	Mar 27, 2019	$711M	$681M	14	11	4	n/a	n/a
2017	Feb 9, 2018	$642M	$606M	13	8	4	n/a	n/a
2016	Mar 22, 2017	$471M	$422M	13	8	n/a	n/a	n/a
2015	Mar 29, 2016	$408M	$232M	12	7	n/a	n/a	n/a
2014	Mar 16, 2015	$244M	$36.3M	11	5	n/a	n/a	n/a
2013	Mar 10, 2014	$327M	$30.0M	8	5	n/a	n/a	n/a
2011	Mar 28, 2012	$44.6M	$4.0M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$354M	$835M	-57.6%	$642M	-18.0%	7	20	1	4

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
Oneseven	2	Dec 6, 2021	Oct 28, 2021	CINCINNATI, OH	Team lift out	RIA to RIA	66.7%
FIRST KENTUCKY SECURITIES CORP	3	Jun 1, 2020	May 29, 2020	CINCINNATI, OH	Team lift out	RIA to RIA	27.3%

Relationships

Controls (1)

← SINCLAIRE, MURRAYOwnerOWNER/FOUNDER/CCO, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV

Affiliated with (1)

← WALNUT STREET INVESTMENT ADVISORS LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Registered with (17)

← STANLEY JAMES KATZAdvisorregistration: previous registration
Jan 13, 2016 to Dec 6, 2021factForm ADV
← JUSTIN DAVID HENNESSYAdvisorregistration: previous registration
Mar 15, 2018 to Dec 6, 2021factForm ADV
← LAUREN KATZ MADERAAdvisorregistration: previous registration
Oct 31, 2016 to Dec 6, 2021factForm ADV
← Sarah Katherine BrowneAdvisorregistration: previous registration
Jun 17, 2019 to Oct 15, 2021factForm ADV
← PETER PAUL BADENAdvisorregistration: previous registration
Jun 24, 2020 to Sep 17, 2020factForm ADV
← Rick BellAdvisorregistration: previous registration
Dec 18, 2009 to Aug 26, 2020factForm ADV
← Michael Scott GamesAdvisorregistration: previous registration
Jul 21, 2014 to Jun 15, 2020factForm ADV
← PETER EUGENE RAINESAdvisorregistration: previous registration
Jun 13, 2017 to Jun 15, 2020factForm ADV
← BRUCE C CORWINAdvisorregistration: previous registration
Jun 17, 2019 to Jun 1, 2020factForm ADV
← BRADLEY CLARK PICKRELLAdvisorregistration: previous registration
Apr 3, 2020 to Jun 1, 2020factForm ADV
← MARTHA L WEEKSAdvisorregistration: previous registration
Feb 23, 2019 to Jun 1, 2020factForm ADV
← KEVIN DAVID THOMPSONAdvisorregistration: previous registration
Jun 13, 2018 to Mar 2, 2020factForm ADV
← ERIC RALPH PRALLAdvisorregistration: previous registration
Feb 11, 2011 to Nov 20, 2018factForm ADV
← JOHN J TERLAUAdvisorregistration: previous registration
Jun 22, 2010 to Jul 11, 2017factForm ADV
← OMAR GANOOMAdvisorregistration: previous registration
Feb 15, 2011 to Aug 14, 2015factForm ADV
← CARL David ROBINSONAdvisorregistration: previous registration
Aug 5, 2013 to Jan 22, 2014factForm ADV
← Eric BentleyAdvisorregistration: previous registration
Feb 12, 2010 to Dec 13, 2011factForm ADV

Moved with (2)

→ ONESEVENRegistered adviser2 advisors, team lift out, same day
Dec 6, 2021 to Oct 28, 2021factForm ADV
→ FIRST KENTUCKY SECURITIES CORPRegistered adviser2 advisors, team lift out, same day
Jun 1, 2020 to May 29, 2020factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 16, 2020
Regulatory AUM changed
Ross, Sinclaire & Associates, Llc reported RAUM $397.9M, down 52% from $834.8M (2020-06-29 to 2020-09-16)
Form ADVobserved 6 days ago
$-437M
Occurred
Sep 16, 2020
Control person left
Fred Thomas Overbeck (Shareholder) no longer on Schedule A of Ross, Sinclaire & Associates, Llc (listed 2020-06-29, absent 2020-09-16)
Form ADVobserved 6 days ago
Occurred
Sep 16, 2020
Control person left
Larry Nelson Jr Taul (Shareholder) no longer on Schedule A of Ross, Sinclaire & Associates, Llc (listed 2020-06-29, absent 2020-09-16)
Form ADVobserved 6 days ago
Occurred
Feb 23, 2016
Succession filed (Item 4)
Ross, Sinclaire & Associates, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 6 days ago
Occurred
Aug 23, 2013
First Form ADV filing
Ross, Sinclaire & Associates, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Show 1 bookkeeping events

Occurred
Sep 16, 2020
Ross, Sinclaire & Associates, Llc reported 5 state-registered advisory representatives, down from 17 (2020-06-29 to 2020-09-16)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1d0b8cfb-0151-8728-9d90-545492852a77
First observed: Mar 28, 2012
Last observed: Mar 31, 2021 66 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ROSS, SINCLAIRE & ASSOCIATES, LLC

CRD 25440

CINCINNATI, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1d0b8cfb-0151-8728-9d90-545492852a77

Data as of Mar 31, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:47 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SINCLAIRE, MURRAY

OWNER/FOUNDER/CCO

yes

01/2008

Mar 28, 2012

Mar 31, 2021

City

State

Country

Employees

Also broker-dealer

Dayton

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 31, 2021

$354M

n/a

2019

Feb 26, 2020

$835M

$803M

n/a

2018

Mar 27, 2019

$711M

$681M

n/a

2017

Feb 9, 2018

$642M

$606M

n/a

2016

Mar 22, 2017

$471M

$422M

n/a

2015

Mar 29, 2016

$408M

$232M

n/a

2014

Mar 16, 2015

$244M

$36.3M

n/a

2013

Mar 10, 2014

$327M

$30.0M

n/a

2011

Mar 28, 2012

$44.6M

$4.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$354M

$835M

-57.6%

$642M

-18.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Oneseven

Dec 6, 2021

Oct 28, 2021

CINCINNATI, OH

Team lift out

RIA to RIA

66.7%

FIRST KENTUCKY SECURITIES CORP

Jun 1, 2020

May 29, 2020

CINCINNATI, OH

Team lift out

RIA to RIA

27.3%