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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

ROSECLIFF CAPITAL ADVISORY LLC

CRD 305951

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:f884088b-12ec-0f84-3593-267f5afed047

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 5
On other graphs: 0
Observed: Jul 27, 2020 to Mar 30, 2026
15 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $27.3MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $27.3M
Private client RAUM: $27.3MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $27.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 185
Individual clients: 27
High net worth clients: 158
SEC number: 801-119344
CRD: 305951
Filings on the tape: 15
First filed: Jul 27, 2020
Latest filed: Mar 30, 2026
Organised: Limited Liability Company, NY
Website: rosecliffcapital.com

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
KEVIN SCOTT TAYLOR	n/a	NEW YORK, NY	5	21	n/a	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
CASO, MICHAEL	MANAGING MEMBER/CHIEF EXECUTIVE OFFICER	E	yes	01/2020	Jul 27, 2020	Mar 29, 2024
CROTTY, PATRICK, T	CHIEF COMPLIANCE OFFICER	Na	yes	04/2023	Apr 18, 2023	Mar 29, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ROSECLIFF VENTURE MANAGEMENT, LLC	n/a	Asset manager	$650M	N	yes	n/a

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	Private funds	Fund GAV
2025	Mar 30, 2026	$27.3M	$27.3M	4	2	n/a	n/a
2024	Mar 31, 2025	$25.8M	$25.8M	5	3	n/a	n/a
2023	Mar 29, 2024	$26.4M	$26.4M	4	3	n/a	n/a
2022	Mar 31, 2023	$25.8M	$25.8M	4	3	n/a	n/a
2021	Mar 31, 2022	$37.2M	$37.2M	4	3	n/a	n/a
2020	Mar 31, 2021	$0	$0	4	2	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	0	0

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	$27.3M	$25.8M	5.6%	$25.8M	1.9%	4	5	0	0

Relationships

Affiliated with (2)

← ROSECLIFF VENTURE MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ ROSECLIFF VENTURE MANAGEMENT, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Registered with (1)

← KEVIN SCOTT TAYLORAdvisorregistration: current employment
Jun 3, 2021 to presentfactForm ADV

Controls (2)

← CROTTY, PATRICK, TOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 18, 2023 to Mar 29, 2024factForm ADV
← CASO, MICHAELOwnerMANAGING MEMBER/CHIEF EXECUTIVE OFFICER, ownership code E, individual
Jul 27, 2020 to Mar 29, 2024factForm ADV

Dated events

Occurred
Apr 18, 2023
Control person joined
T Patrick Crotty (Chief Compliance Officer) appeared on Schedule A of Rosecliff Capital Advisory Llc
Form ADVobserved 6 days ago
Occurred
Feb 9, 2023
Control person left
C. Joseph Albanese (General Counsel And Cco) no longer on Schedule A of Rosecliff Capital Advisory Llc (listed 2022-11-03, absent 2023-02-09)
Form ADVobserved 6 days ago
Occurred
Nov 3, 2022
Control person joined
C. Joseph Albanese (General Counsel And Cco) appeared on Schedule A of Rosecliff Capital Advisory Llc
Form ADVobserved 6 days ago
Occurred
Mar 31, 2022
Control person left
E Stewart Eichner (Chief Compliance Officer) no longer on Schedule A of Rosecliff Capital Advisory Llc (listed 2021-04-29, absent 2022-03-31)
Form ADVobserved 6 days ago
Occurred
Jul 27, 2020
First Form ADV filing
Rosecliff Capital Advisory Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f884088b-12ec-0f84-3593-267f5afed047
First observed: Jul 27, 2020
Last observed: Mar 30, 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.

ROSECLIFF CAPITAL ADVISORY LLC

CRD 305951

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:f884088b-12ec-0f84-3593-267f5afed047

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:17 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

KEVIN SCOTT TAYLOR

n/a

NEW YORK, NY

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CASO, MICHAEL

MANAGING MEMBER/CHIEF EXECUTIVE OFFICER

yes

01/2020

Jul 27, 2020

Mar 29, 2024

CROTTY, PATRICK, T

CHIEF COMPLIANCE OFFICER

yes

04/2023

Apr 18, 2023

Mar 29, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ROSECLIFF VENTURE MANAGEMENT, LLC

n/a

Asset manager

$650M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$27.3M

n/a

2024

Mar 31, 2025

$25.8M

n/a

2023

Mar 29, 2024

$26.4M

n/a

2022

Mar 31, 2023

$25.8M

n/a

2021

Mar 31, 2022

$37.2M

n/a

2020

Mar 31, 2021

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$27.3M

$25.8M

5.6%

$25.8M

1.9%