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

ROSENTHAL ADVISORY SERVICES, L.P.

CRD 114533

FORT WORTH, TX

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:24e2dce8-d8fd-37a5-229c-6e3e1390fc43

Data as of Mar 23, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 7
On other graphs: 0
Observed: May 3, 2018 to Mar 23, 2021
8 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: $187MItem 5.F on the latest filing (2021-03-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $187M
Private client RAUM: $187MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 363
Individual clients: 277
High net worth clients: 86
Custody, client assets: $384,535
SEC number: 801-113369
CRD: 114533
Filings on the tape: 8
First filed: May 3, 2018
Latest filed: Mar 23, 2021
Organised: Limited Partnership, Texas

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
ROSENTHAL MANAGEMENT SERVICES, LLC	GENERAL PARTNER	Na	yes	01/2005	May 3, 2018	Mar 23, 2021
ROSENTHAL, WILLIAM, BURK	Owner	E	yes	01/2005	May 3, 2018	Mar 23, 2021
ROSENTHAL, WILLIAM, BURK	LIMITED PARTNER, CHIEF COMPLIANCE OFFICER	Na	yes	01/2005	May 3, 2018	Mar 23, 2021
THE WILLIAM BURK ROSENTHAL LIVING TRUST U/T/D DECEMBER 3, 2014 (WILLIAM BURK ROSENTHAL, TRUSTEE)	Owner	E	yes	01/2015	May 3, 2018	Mar 23, 2021

Offices

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

City	State	Country	Employees	Also broker-dealer
Dallas	TX	United States	3	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 23, 2021	$187M	$187M	5	5	1	n/a	n/a
2019	Mar 19, 2020	$166M	$166M	5	5	1	n/a	n/a
2018	Mar 30, 2019	$157M	$157M	11	6	2	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	$187M	$166M	12.2%	n/a	n/a	5	5	1	1

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
LPL FINANCIAL LLC	2	Feb 16, 2022	Nov 29, 2017	FORT WORTH, TX	Team lift out	RIA to ibd	40.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	3	Nov 29, 2017	Jul 11, 2017	IRVING, TX	Team lift out	Other	0.7%

Relationships

Controls (3)

← ROSENTHAL, WILLIAM, BURKOwnerOWNER, ownership code E, individual
May 3, 2018 to presentfactForm ADV
← ROSENTHAL MANAGEMENT SERVICES, LLCOwnerGENERAL PARTNER, ownership code NA, domestic entity
May 3, 2018 to presentfactForm ADV
← THE WILLIAM BURK ROSENTHAL LIVING TRUST U/T/D DECEMBER 3, 2014 (WILLIAM BURK ROSENTHAL, TRUSTEE)OwnerOWNER, ownership code E, domestic entity
May 3, 2018 to presentfactForm ADV

Registered with (11)

← WILLIAM BURK ROSENTHALAdvisorregistration: previous registration
Sep 12, 2005 to Feb 16, 2022factForm ADV
← AMY LYNN HAMMOCKAdvisorregistration: previous registration
Jan 18, 2016 to Feb 16, 2022factForm ADV
← STEWART BRUCE LEAFBLADAdvisorregistration: previous registration
Jul 24, 2015 to Feb 16, 2022factForm ADV
← ALISHA RENEE ROSENTHALAdvisorregistration: previous registration
Jul 24, 2015 to Feb 16, 2022factForm ADV
← CORY BLAKE BRUNTZAdvisorregistration: previous registration
Jan 26, 2018 to Feb 16, 2022factForm ADV
← Charles Michael AbbottAdvisorregistration: previous registration
Jul 11, 2017 to May 17, 2019factForm ADV
← SHAWN CHRISTOPHER RIGGINSAdvisorregistration: previous registration
Mar 9, 2009 to Mar 18, 2015factForm ADV
← Jessica CafferataAdvisorregistration: previous registration
Mar 9, 2009 to Mar 30, 2011factForm ADV
← LARRY DALE JACKSONAdvisorregistration: previous registration
Mar 9, 2009 to Sep 4, 2009factForm ADV
← BRIAN WESLEY ARMSTRONGAdvisorregistration: previous registration
Aug 18, 2005 to Mar 14, 2008factForm ADV
← SHAWNDI LYNN PURSELLEYAdvisorregistration: previous registration
Aug 16, 2005 to Mar 14, 2008factForm ADV

Moved with (2)

→ LPL FINANCIAL LLCRegistered adviser2 advisors, team lift out, same day
Feb 16, 2022 to Nov 29, 2017factForm ADV
← NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviser3 advisors, team lift out, same day
Nov 29, 2017 to Jul 11, 2017factForm ADV

Dated events

Occurred
Feb 16, 2022
Team lift-out
2 advisors left Rosenthal Advisory Services, L.P. (Fort Worth, TX) for LPL Financial LLC on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Feb 16, 2022
Advisor changed firm
William Burk Rosenthal left Rosenthal Advisory Services, L.P. for National Planning Corporation ("Npc Of America" In Fl & Ny) (registered 2007-12-10)
Form ADVobserved 5 days ago
Occurred
Feb 16, 2022
Advisor changed firm
Alisha Renee Rosenthal left Rosenthal Advisory Services, L.P. for Lpl Financial Llc (registered 2017-11-29)
Form ADVobserved 5 days ago
Occurred
Feb 16, 2022
Advisor changed firm
Amy Lynn Hammock left Rosenthal Advisory Services, L.P. for Lpl Financial Llc (registered 2017-11-29)
Form ADVobserved 5 days ago
Occurred
Feb 16, 2022
Advisor changed firm
Cory Blake Bruntz left Rosenthal Advisory Services, L.P. for Beacon Pointe Advisors, Llc (registered 2021-10-11)
Form ADVobserved 5 days ago
Occurred
Feb 16, 2022
Advisor changed firm
Stewart Bruce Leafblad left Rosenthal Advisory Services, L.P. for Lpl Financial Llc (registered 2017-11-29)
Form ADVobserved 5 days ago
Occurred
May 3, 2018
First Form ADV filing
Rosenthal Advisory Services, L.P. filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:24e2dce8-d8fd-37a5-229c-6e3e1390fc43
First observed: May 3, 2018
Last observed: Mar 23, 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.

ROSENTHAL ADVISORY SERVICES, L.P.

CRD 114533

FORT WORTH, TX

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:24e2dce8-d8fd-37a5-229c-6e3e1390fc43

Data as of Mar 23, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:34 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ROSENTHAL MANAGEMENT SERVICES, LLC

GENERAL PARTNER

yes

01/2005

May 3, 2018

Mar 23, 2021

ROSENTHAL, WILLIAM, BURK

Owner

yes

01/2005

May 3, 2018

Mar 23, 2021

ROSENTHAL, WILLIAM, BURK

LIMITED PARTNER, CHIEF COMPLIANCE OFFICER

yes

01/2005

May 3, 2018

Mar 23, 2021

THE WILLIAM BURK ROSENTHAL LIVING TRUST U/T/D DECEMBER 3, 2014 (WILLIAM BURK ROSENTHAL, TRUSTEE)

Owner

yes

01/2015

May 3, 2018

Mar 23, 2021

City

State

Country

Employees

Also broker-dealer

Dallas

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 23, 2021

$187M

n/a

2019

Mar 19, 2020

$166M

n/a

2018

Mar 30, 2019

$157M

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

$187M

$166M

12.2%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Feb 16, 2022

Nov 29, 2017

FORT WORTH, TX

Team lift out

RIA to ibd

40.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)

Nov 29, 2017

Jul 11, 2017

IRVING, TX

Team lift out

Other

0.7%