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.

Current firm

ROSE CAPITAL ADVISORS, LLC

Current firm class

independent wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Apr 1, 2001earliest registration or exam on IAPD

Years in industry

25derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S63|S65

First exam

Sep 2, 2010

First registration

May 7, 2018

Dual registered

yes, broker-dealer

Other names

RAM RAMASWAMY|ANNAMALAI RAMASWAMY

IAPD individual key

5804946

• Occurred

  Aug 7, 2024
  Advisor changed firm

  Annamalai Ramaswamy left Neuberger Berman Bd Llc for Rose Capital Advisors, Llc (registered 2026-02-11)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:68335403-9ac5-1d9a-695b-ffd4c3202191

First observed

May 7, 2018

Last observed

Sep 15, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed 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.