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.

Firm class

independent wealth managerderivedprivate_client_share=0.94 fund_share=0.01 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0

Regulatory AUM

$364MItem 5.F on the latest filing (2026-03-04); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$364M

Private client RAUM

$344MderivedItem 5.D individuals plus high net worth individuals

Private client share

94%derivedprivate client RAUM over total RAUM

Advisors on IAPD

2

RAUM per advisor

$182Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

5

Advisory employees

2

Offices

1Schedule D 1.F, beyond the principal office

Accounts

371

Individual clients

47

High net worth clients

69

Private funds

1Schedule D 7.B(1)

SEC number

801-120277

CRD

312435

Filings on the tape

12

First filed

Jan 6, 2021

Latest filed

Mar 4, 2026

Organised

Corporation, DE

• Occurred

  Apr 1, 2021
  Control person joined

  Jacques Arthur Mallet (President And Chief Operating Officer) appeared on Schedule A of Regency Capital Management Inc.

  Form ADVobserved 5 days ago
• Occurred

  Jan 6, 2021
  First Form ADV filing

  Neil Rose & Co. filed its initial SEC registration (Form ADV)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:d6435fd8-7337-5e0c-5e3b-94e303b0f384

First observed

Jan 6, 2021

Last observed

Mar 4, 2026 6 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.