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
Rosecap Investment Advisors, LLC
Latest filing Mar 11, 2026
First filing on the tape Jan 31, 2020 · 21 filings
SEC status approved since Mar 5, 2020
RAUM
$528M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$498M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$528M as of Mar 11, 2026
Mar 29, 2021$216M then
HNW client RAUM$426M as of Mar 11, 2026
Mar 29, 2021$165M then
State-registered IARs (5.B.3)4 as of Mar 11, 2026
Mar 29, 20211 then
Employees (5.A)8 as of Mar 11, 2026
Mar 29, 20212 then
Private funds: no history
RAUM +19% over the last fiscal year+15% a year over threeIARs 3 to 4offices 0 to 1
Practice profile
derived from the filing of Mar 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
- RAUM per advisor
- $132MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 180derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $707,143derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +28%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
- Custody
- $300M, 763 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$426M81%
- Individuals$71.3M14%
- Corporations and businesses$20.5M3.9%
- Charitable organizations$9.4M1.8%
- State and municipal entities$640.0%
- Individual clients
- 433reported
- HNW clients
- 288reported
- Pension plan clients
- 0reported
- Charitable clients
- 5reported
- Accounts
- 746reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $300M for 763 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Matthew Hamilton Rosenberg | Denver, Co | Mar 19, 2020 | 18 y | 0 |
| Ethan H. CormanChartered Financial Analyst | Grand Junction, Co | Mar 10, 2022 | 12 y | 1 |
| Sarah L Graff | Grand Junction, Co | Nov 1, 2022 | 18 y | 0 |
| Heather Dianne HoltzingerCertified Financial Planner | Grand Junction, Co | Apr 23, 2025 | 25 y | 2 |
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
- Robb Patton Parsons to Mutual Advisors, LLCApr 13, 2023 · RIA to affiliated broker-dealer or bank
- Joseph Andrew Matelich to Physician Advising LLCMay 4, 2017 · RIA to a state-registered adviser
Joined, latest
- Robb Patton Parsons from Wealthsource?Sep 16, 2021 · RIA to RIA
- Heather Dianne Holtzinger from Grandview Investment Advisors, LLCJan 5, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Hamilton Matthew Rosenberg · Managing Directorcontrolsince 01/2010 · owns less than 5%
- Marie Autumn Schultz · Chief Compliance Officercontrolsince 10/2020 · owns less than 5%
- Hamilton Matthew Rosenberg · Managing Directorcontrolsince 01/2010 · owns 75% or more of Rosecap Financial Advisors, LLC
Entity owners
- Rosecap Financial Advisors, LLC · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- Rosecap Tax & Accountinginsurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Grand Junction, Co · principal | 3 | 0 | 0 | ||
| Denver, Co | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 661 to 746Mar 10, 2025 to Mar 11, 2026
- Advisory employees · 5 to 6Mar 10, 2025 to Mar 11, 2026
- Corporate clients · 17 to 20Mar 10, 2025 to Mar 11, 2026
- HNW clients · 244 to 288Mar 10, 2025 to Mar 11, 2026
- Individual clients · 318 to 433Mar 10, 2025 to Mar 11, 2026
- Assets in custody · $242M to $300MMar 10, 2025 to Mar 11, 2026
- Employees · 5 to 8Mar 10, 2025 to Mar 11, 2026
- Financial planning clients · 1-10 to 0Mar 10, 2025 to Mar 11, 2026
- State-registered IARs · 3 to 4Mar 10, 2025 to Mar 11, 2026
- Other offices · 0 to 1Mar 10, 2025 to Mar 11, 2026
- Discretionary RAUM · $443M to $526MMar 10, 2025 to Mar 11, 2026
- HNW RAUM · $356M to $426MMar 10, 2025 to Mar 11, 2026
- Individual RAUM · $50.0M to $71.3MMar 10, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $1.5M to $2.0MMar 10, 2025 to Mar 11, 2026
- RAUM · $445M to $528MMar 10, 2025 to Mar 11, 2026
- Accounts · 569 to 661Jan 31, 2024 to Mar 10, 2025
- Advisory activities · 5 to 4Jan 31, 2024 to Mar 10, 2025
- Charity clients · 3 to 5Jan 31, 2024 to Mar 10, 2025
- Corporate clients · 16 to 17Jan 31, 2024 to Mar 10, 2025
- HNW clients · 213 to 244Jan 31, 2024 to Mar 10, 2025
- Individual clients · 266 to 318Jan 31, 2024 to Mar 10, 2025
- Assets in custody · $200M to $242MJan 31, 2024 to Mar 10, 2025
- Financial planning clients · 1-10 to 1-10Jan 31, 2024 to Mar 10, 2025
- Discretionary RAUM · $359M to $443MJan 31, 2024 to Mar 10, 2025
- HNW RAUM · $287M to $356MJan 31, 2024 to Mar 10, 2025
- Individual RAUM · $36.2M to $50.0MJan 31, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $1.7M to $1.5MJan 31, 2024 to Mar 10, 2025
- RAUM · $360M to $445MJan 31, 2024 to Mar 10, 2025
- Accounts · 583 to 569Apr 18, 2023 to Jan 31, 2024
- Advisory employees · 4 to 5Apr 18, 2023 to Jan 31, 2024
- Charity clients · 4 to 3Apr 18, 2023 to Jan 31, 2024
- Corporate clients · 15 to 16Apr 18, 2023 to Jan 31, 2024
- HNW clients · 241 to 213Apr 18, 2023 to Jan 31, 2024
- Individual clients · 258 to 266Apr 18, 2023 to Jan 31, 2024
- State-registered IARs · 1 to 3Apr 18, 2023 to Jan 31, 2024
- Discretionary RAUM · $344M to $359MApr 18, 2023 to Jan 31, 2024
- HNW RAUM · $235M to $287MApr 18, 2023 to Jan 31, 2024
- Individual RAUM · $23.3M to $36.2MApr 18, 2023 to Jan 31, 2024
- Non-discretionary RAUM · $1.5M to $1.7MApr 18, 2023 to Jan 31, 2024
- RAUM · $345M to $360MApr 18, 2023 to Jan 31, 2024
Signals
4 dated events
- Robb Patton Parsons left Rosecap Investment Advisors, Llc for Mutual Advisors, Llc (registered 2023-05-05)Apr 13, 2023 · Advisor changed firm · fact
- Rosecap Investment Advisors, Llc reported RAUM $345.9M, up 60% from $216.2M (2021-09-02 to 2022-03-07)Mar 7, 2022 · RAUM change · derived
- Marie Autumn Schultz (Chief Compliance Officer) appeared on Schedule A of Rosecap Investment Advisors, LlcOct 22, 2020 · Control person joined · fact
- Rosecap Investment Advisors, Llc filed its initial SEC registration (Form ADV)Jan 31, 2020 · First SEC registration · fact
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
- Business email
- info@rosecap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- autumn.schultz@rosecap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- chelsea.faber@rosecap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- callie.washington@rosecap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 303-226-1001reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 970-773-5300reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/rosecap-investment-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- ROSECAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (970) 773-5300reportedpublic record, Form ADV, Mar 11, 2026
- Contact form
- rosecap.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- rosecap.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $132Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026