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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

SHUFRO, ROSE & CO., LLC

CRD 3403

NEW YORK, NY

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:2ade3d83-9ffc-f920-e51e-a8b720a0ef55

Data as of Apr 21, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 6
On other graphs: 0
Observed: Mar 29, 2012 to Apr 21, 2026
28 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: independent wealth managerderivedprivate_client_share=0.94 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.5BItem 5.F on the latest filing (2026-04-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.4B
Private client RAUM: $2.3BderivedItem 5.D individuals plus high net worth individuals
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 12
RAUM per advisor: $205Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 27
Advisory employees: 9
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 3,009
Individual clients: 660
High net worth clients: 547
Custody, client assets: $807M
SEC number: 801-977
CRD: 3403
Filings on the tape: 28
First filed: Mar 29, 2012
Latest filed: Apr 21, 2026
Organised: Limited Liability Company, NY

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
STEPHEN DAVID LEIT	Chartered Financial Analyst	NEW YORK, NY	24	41	n/a	no
HARVEY WACHT	n/a	NEW YORK, NY	24	38	n/a	no
Steven Jeffrey Glass	n/a	NEW YORK, NY	24	38	n/a	no
JOHN MARINUS CONTANT	n/a	NEW YORK, NY	19	26	n/a	no
barbara puklin silverman	Chartered Financial Analyst	NEW YORK, NY	16	30	n/a	no
Gregory David Shufro	n/a	NEW YORK, NY	11	22	n/a	no
GERSON ROBERT OSSERS	Certified Financial Planner	NEW YORK, NY	6	12	4	no
Anthony Trevor Santoloci	n/a	NEW YORK, NY	5	14	3	no
Yoolim Kaminsky	n/a	NEW YORK, NY	3	26	n/a	no
Aimee Adler	Certified Financial Planner	NEW YORK, NY	2	12	3	no
Garrett Lawton Cole	n/a	NEW YORK, NY \| Wyckoff, NJ	1	15	1	no
LANCE CHRISTOPHER ARMENTA	n/a	NEW YORK, NY \| New York, NY	1	11	3	no

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
CONTANT, JOHN, MARINUS	PRINCIPAL AND SENIOR FINANCIAL ADVISOR	B	yes	01/2004	Apr 21, 2026	Apr 21, 2026
GLASS, STEVEN, JEFFREY	PRINCIPAL AND SENIOR FINANCIAL ADVISOR	B	yes	01/1997	Apr 21, 2026	Apr 21, 2026
KAMINSKY, Tonia	PRINCIPAL AND SENIOR FINANCIAL ADVISOR	B	yes	04/2009	Apr 21, 2026	Apr 21, 2026
LEIT, STEPHEN, DAVID	PRINCIPAL AND SENIOR FINANCIAL ADVISOR	C	yes	01/1989	Apr 21, 2026	Apr 21, 2026
SHUFRO, GREGORY, DAVID	PRINCIPAL AND SENIOR FINANCIAL ADVISOR	B	yes	04/2008	Apr 21, 2026	Apr 21, 2026
WACHT, HARVEY	PRINCIPAL AND SENIOR FINANCIAL ADVISOR	A	yes	01/2003	Apr 21, 2026	Apr 21, 2026
HORNE, TARA, NICHOLE	CHIEF COMPLIANCE OFFICER	Na	no	01/2024	Apr 21, 2026	Apr 21, 2026

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; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 21, 2026	$2.5B	$2.4B	27	9	0	n/a	n/a
2024	Apr 4, 2025	$2.2B	$2.1B	27	9	0	n/a	n/a
2023	Mar 21, 2024	$2.0B	$1.9B	26	9	0	n/a	n/a
2022	Mar 27, 2023	$1.8B	$1.7B	26	9	0	n/a	n/a
2021	Mar 21, 2022	$2.1B	$2.0B	24	9	0	n/a	n/a
2020	Mar 19, 2021	$1.8B	$1.7B	25	9	0	n/a	n/a
2019	Mar 17, 2020	$1.8B	$1.7B	22	9	0	n/a	n/a
2018	Mar 28, 2019	$1.6B	$1.5B	21	8	0	n/a	n/a
2017	Mar 31, 2018	$1.7B	$1.7B	19	8	0	n/a	n/a
2016	Mar 31, 2017	$1.6B	$1.6B	19	8	n/a	n/a	n/a
2015	Mar 28, 2016	$1.6B	$1.5B	21	8	n/a	n/a	n/a
2014	Mar 27, 2015	$1.7B	$1.6B	21	8	n/a	n/a	n/a
2013	Mar 31, 2014	$1.6B	$1.6B	17	8	n/a	n/a	n/a
2012	Mar 28, 2013	$1.4B	$1.4B	18	8	n/a	n/a	n/a
2011	Mar 29, 2012	$1.4B	$1.4B	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	3	2

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
2025	$2.5B	$2.2B	13.8%	$1.8B	10.9%	27	27	0	0

Relationships

Registered with (15)

← LANCE CHRISTOPHER ARMENTAAdvisorregistration: current employment
Dec 8, 2024 to presentfactForm ADV
← Garrett Lawton ColeAdvisorregistration: current employment
Dec 2, 2024 to presentfactForm ADV
← Aimee AdlerAdvisorregistration: current employment
Feb 6, 2024 to presentfactForm ADV
← Yoolim KaminskyAdvisorregistration: current employment
Sep 27, 2022 to presentfactForm ADV
← Anthony Trevor SantolociAdvisorregistration: current employment
Mar 29, 2021 to presentfactForm ADV
← GERSON ROBERT OSSERSAdvisorregistration: current employment
Apr 9, 2020 to presentfactForm ADV
← Gregory David ShufroAdvisorregistration: current employment
Jan 15, 2015 to presentfactForm ADV
← barbara puklin silvermanAdvisorregistration: current employment
Oct 29, 2009 to presentfactForm ADV
← JOHN MARINUS CONTANTAdvisorregistration: current employment
Sep 7, 2007 to presentfactForm ADV
← Steven Jeffrey GlassAdvisorregistration: current employment
Sep 17, 2002 to presentfactForm ADV
← HARVEY WACHTAdvisorregistration: current employment
Sep 12, 2002 to presentfactForm ADV
← STEPHEN DAVID LEITAdvisorregistration: current employment
Sep 5, 2002 to presentfactForm ADV
← MICHAEL THOMAS HYMESAdvisorregistration: previous registration
Mar 25, 2020 to Jan 16, 2024factForm ADV
← MARISA LUCIANOAdvisorregistration: previous registration
Mar 31, 2022 to Nov 13, 2023factForm ADV
← SHARON ELZENA GRIFFITHAdvisorregistration: previous registration
Aug 14, 2008 to Jan 23, 2017factForm ADV

Controls (6)

← GLASS, STEVEN, JEFFREYOwnerPRINCIPAL AND SENIOR FINANCIAL ADVISOR, ownership code B, individual
Mar 29, 2012 to Aug 14, 2024factForm ADV
← CONTANT, JOHN, MARINUSOwnerPRINCIPAL AND SENIOR FINANCIAL ADVISOR, ownership code B, individual
Mar 29, 2012 to Aug 14, 2024factForm ADV
← KAMINSKY, ToniaOwnerPRINCIPAL AND SENIOR FINANCIAL ADVISOR, ownership code B, individual
Mar 29, 2012 to Aug 14, 2024factForm ADV
← WACHT, HARVEYOwnerPRINCIPAL AND SENIOR FINANCIAL ADVISOR, ownership code A, individual
Mar 29, 2012 to Aug 14, 2024factForm ADV
← SHUFRO, GREGORY, DAVIDOwnerPRINCIPAL AND SENIOR FINANCIAL ADVISOR, ownership code B, individual
Mar 29, 2012 to Aug 14, 2024factForm ADV
← LEIT, STEPHEN, DAVIDOwnerPRINCIPAL AND SENIOR FINANCIAL ADVISOR, ownership code C, individual
Mar 29, 2012 to Aug 14, 2024factForm ADV

Owns (1)

← HORNE, TARA, NICHOLEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 4, 2024 to Aug 14, 2024factForm ADV

Dated events

Occurred
Aug 14, 2024
Control person left
Kumar Vibhaw Arya (Chief Operating Officer) no longer on Schedule A of Shufro, Rose & Co., Llc (listed 2024-03-21, absent 2024-08-14)
Form ADVobserved 4 days ago
Occurred
Jan 16, 2024
Advisor changed firm
Michael Thomas Hymes left Shufro, Rose & Co., Llc for Beatrice Advisors Lp (registered 2025-01-05)
Form ADVobserved 4 days ago
Occurred
Jan 4, 2024
Control person left
Alan John Wilkens (Chief Financial Officer, Chief Compliance Officer) no longer on Schedule A of Shufro, Rose & Co., Llc (listed 2023-11-01, absent 2024-01-04)
Form ADVobserved 4 days ago
Occurred
Nov 13, 2023
Advisor changed firm
Marisa Luciano left Shufro, Rose & Co., Llc for Citigroup Global Markets Inc. (registered 2023-06-28)
Form ADVobserved 4 days ago
Occurred
Mar 17, 2020
Control person left
George Edward Shufro (Senior Managing Director Emeritus) no longer on Schedule A of Shufro, Rose & Co., Llc (listed 2019-06-21, absent 2020-03-17)
Form ADVobserved 4 days ago
Occurred
Mar 28, 2019
Control person joined
Alan John Wilkens (Chief Financial Officer, Chief Compliance Officer) appeared on Schedule A of Shufro, Rose & Co., Llc
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2ade3d83-9ffc-f920-e51e-a8b720a0ef55
First observed: Mar 29, 2012
Last observed: Apr 21, 2026 5 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.

SHUFRO, ROSE & CO., LLC

CRD 3403

NEW YORK, NY

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:2ade3d83-9ffc-f920-e51e-a8b720a0ef55

Data as of Apr 21, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:48 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

STEPHEN DAVID LEIT

Chartered Financial Analyst

NEW YORK, NY

n/a

HARVEY WACHT

n/a

NEW YORK, NY

n/a

Steven Jeffrey Glass

n/a

NEW YORK, NY

n/a

JOHN MARINUS CONTANT

n/a

NEW YORK, NY

n/a

barbara puklin silverman

Chartered Financial Analyst

NEW YORK, NY

n/a

Gregory David Shufro

n/a

NEW YORK, NY

n/a

GERSON ROBERT OSSERS

Certified Financial Planner

NEW YORK, NY

Anthony Trevor Santoloci

n/a

NEW YORK, NY

Yoolim Kaminsky

n/a

NEW YORK, NY

n/a

Aimee Adler

Certified Financial Planner

NEW YORK, NY

Garrett Lawton Cole

n/a

NEW YORK, NY | Wyckoff, NJ

LANCE CHRISTOPHER ARMENTA

n/a

NEW YORK, NY | New York, NY

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CONTANT, JOHN, MARINUS