DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Eliot Rose Wealth Management, LLC
Latest filing Feb 11, 2026
First filing on the tape Mar 31, 2012 · 39 filings
SEC status approved since Jul 2, 2021
RAUM
$186M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$186M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$186M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$186M as of Feb 11, 2026
Mar 31, 2012$83.0M then
HNW client RAUM$146M as of Feb 11, 2026
Mar 28, 2018$26.4M then
State-registered IARs (5.B.3)1 as of Feb 11, 2026
Apr 1, 20132 then
Employees (5.A)4 as of Feb 11, 2026
Apr 1, 20134 then
Private funds1 as of Apr 1, 2013
Mar 31, 20121 then
RAUM +22% over the last fiscal year+18% a year over threeIARs 2 to 1offices 1 to 0
Practice profile
derived from the filing of Feb 11, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $186MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 141derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $465,819derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -10%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$146M78%
- Individuals$40.7M22%
- Individual clients
- 88reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 400reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jason Eliot SipersteinCertified Financial Planner, Chartered Financial Analyst | Providence, Ri | Jun 27, 2011 | 16 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Tapestry Investment Partners, LPno longer reported | Hedge Fund | $20.2M | 30 | Mar 31, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Steven Gary Siperstein · Managing Membercontrolsince 04/2002 · owns 10% to 25%
- Eliot Jason Siperstein · Chief Compliance Officer, Membercontrolsince 01/2016 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 352 to 400Nov 19, 2025 to Feb 11, 2026
- Advisory employees · 2 to 1Nov 19, 2025 to Feb 11, 2026
- HNW clients · 40 to 53Nov 19, 2025 to Feb 11, 2026
- Individual clients · 117 to 88Nov 19, 2025 to Feb 11, 2026
- Financial planning clients · 0 to 11-25Nov 19, 2025 to Feb 11, 2026
- HQ city · to PROVIDENCENov 19, 2025 to Feb 11, 2026
- HQ state · to RINov 19, 2025 to Feb 11, 2026
- State-registered IARs · 2 to 1Nov 19, 2025 to Feb 11, 2026
- Other offices · 2 to 0Nov 19, 2025 to Feb 11, 2026
- Discretionary RAUM · $153M to $186MNov 19, 2025 to Feb 11, 2026
- HNW RAUM · $112M to $146MNov 19, 2025 to Feb 11, 2026
- Individual RAUM · $40.8M to $40.7MNov 19, 2025 to Feb 11, 2026
- RAUM · $153M to $186MNov 19, 2025 to Feb 11, 2026
- Financial planning clients · 0 to 0Mar 26, 2025 to Nov 19, 2025
- HQ city · WEST WARWICK to Mar 26, 2025 to Nov 19, 2025
- HQ state · RI to Mar 26, 2025 to Nov 19, 2025
- Other offices · 1 to 2Mar 26, 2025 to Nov 19, 2025
- Advisory employees · 1 to 2Apr 1, 2024 to Mar 26, 2025
- HNW clients · 39 to 40Apr 1, 2024 to Mar 26, 2025
- Financial planning clients · 51-100 to 0Apr 1, 2024 to Mar 26, 2025
- Discretionary RAUM · $126M to $153MApr 1, 2024 to Mar 26, 2025
- HNW RAUM · $83.7M to $112MApr 1, 2024 to Mar 26, 2025
- Individual RAUM · $41.8M to $40.8MApr 1, 2024 to Mar 26, 2025
- RAUM · $126M to $153MApr 1, 2024 to Mar 26, 2025
- Accounts · 328 to 352Apr 7, 2023 to Mar 22, 2024
- Advisory employees · 2 to 1Apr 7, 2023 to Mar 22, 2024
- HNW clients · 32 to 39Apr 7, 2023 to Mar 22, 2024
- Individual clients · 115 to 117Apr 7, 2023 to Mar 22, 2024
- Financial planning clients · 101-250 to 51-100Apr 7, 2023 to Mar 22, 2024
- Other offices · 3 to 1Apr 7, 2023 to Mar 22, 2024
- Discretionary RAUM · $114M to $126MApr 7, 2023 to Mar 22, 2024
- HNW RAUM · $79.0M to $83.7MApr 7, 2023 to Mar 22, 2024
- Individual RAUM · $34.8M to $41.8MApr 7, 2023 to Mar 22, 2024
- RAUM · $114M to $126MApr 7, 2023 to Mar 22, 2024
- Accounts · 312 to 328Oct 26, 2022 to Mar 29, 2023
- HNW clients · 38 to 32Oct 26, 2022 to Mar 29, 2023
- Individual clients · 101 to 115Oct 26, 2022 to Mar 29, 2023
- Financial planning clients · 26-50 to 101-250Oct 26, 2022 to Mar 29, 2023
- Other offices · 0 to 3Oct 26, 2022 to Mar 29, 2023
- Discretionary RAUM · $117M to $114MOct 26, 2022 to Mar 29, 2023
Signals
2 dated events
- Eliot Rose Wealth Management, Llc filed its initial SEC registration (Form ADV)Apr 30, 2021 · First SEC registration · fact
- Joseph Paul Mcdermott (Chief Compliance Officer) no longer on Schedule A of Eliot Rose Wealth Management, Llc (listed 2019-03-27, absent 2019-06-06)Jun 6, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/eliotrosewealth/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ELIOTROSE.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (401) 588-5102reportedpublic record, Form ADV, Feb 11, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $186Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026