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
Rose Smart Growth Investment Advisors, LLC
Latest filing Mar 26, 2026
First filing on the tape Feb 14, 2012 · 18 filings
SEC status approved since Mar 21, 2012
RAUM
$2.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
50
50 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$2.0B as of Mar 26, 2026
Mar 28, 2013$166M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 28, 20130 then
Employees (5.A)50 as of Mar 26, 2026
Mar 28, 201315 then
Private funds1 as of Mar 26, 2026
Mar 28, 20139 then
RAUM +5.0% over the last fiscal year+3.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $286MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.0B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Rose Affordable Housing Preservation Fund IV, L.P.no longer reported | Real Estate Fund | $437M | 112 | Mar 28, 2017 |
| Rose Affordable Housing Preservation Fund LLC | Real Estate Fund | $89.2M | 2 | Mar 30, 2015 |
| Rose Green Cities Fund LLCno longer reported | Real Estate Fund | $10.2M | 2 | Feb 14, 2012 |
| Rose New Jersey Green Affordable Housing Preservation Fund LLCno longer reported | Real Estate Fund | $7.6M | 2 | Feb 14, 2012 |
| Granada Co-Investors II, LLCno longer reported | Real Estate Fund | $964,532 | 2 | Feb 14, 2012 |
| Rose Smart Growth Investment Fund I, L.P.no longer reported | Real Estate Fund | $885,801 | 52 | Feb 14, 2012 |
| Rose Value-Add Office Retrofit Fund, L.P.no longer reported | Real Estate Fund | $399,559 | 45 | Feb 14, 2012 |
| Rose Cambridge, L.P.no longer reported | Real Estate Fund | $246,291 | 5 | Mar 28, 2013 |
| Rose 2520, L.P.no longer reported | Real Estate Fund | $218,518 | 6 | Mar 30, 2015 |
| Rose Value-Add Office Retrofit Fund Private Investors, L.P.no longer reported | Real Estate Fund | $154,639 | 4 | Feb 14, 2012 |
| Rose Capital Yeon LLCno longer reported | Real Estate Fund | $39,499 | 1 | Feb 14, 2012 |
| Granada Co-Investors, LLCno longer reported | Real Estate Fund | $1,915 | 4 | Feb 14, 2012 |
| Rose Smart Growth Investment Fund I-A, L.P.no longer reported | Real Estate Fund | $749 | 2 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Carolyn Au · Chief Compliance Officer; Chief Operating Officercontrolsince 12/2022 · owns less than 5%
- F.P. Jonathan Rose · Chief Executive Officercontrolsince 02/2006 · owns less than 5%
- F.P. Jonathan Rose · Sole Membercontrolsince 06/2017 · owns 75% or more of Jfpr Investments, LLC
Entity owners
- Rose Community Holdings, LLC · Managing Memberdirect · owns 75% or more
- Jfpr Investments, LLC · Managing Memberindirect · owns 75% or more of Rose Companies Holdings, LLC
- Rose Companies Holdings, LLC · Sole Memberindirect · owns 75% or more of Rose Community Holdings, LLC
Related persons
Schedule D 7.A
- Mission Title Agency, LLCreal estaten
- Rose Housing Preservation Investors IV, LLCpooled vehicle sponsorn
- Rose Housing Preservation Investors V, LLCpooled vehicle sponsorn
- Rose Housing Preservation Investors Vi, LLCpooled vehicle sponsorn
- Rose Housing Preservation Investors, LLCpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 49 to 50Mar 26, 2025 to Mar 26, 2026
- Employees · 49 to 50Mar 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.9B to $2.0BMar 26, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $1.9B to $2.0BMar 26, 2025 to Mar 26, 2026
- RAUM · $1.9B to $2.0BMar 26, 2025 to Mar 26, 2026
- Advisory employees · 55 to 49Mar 26, 2024 to Mar 26, 2025
- Employees · 55 to 49Mar 26, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $2.0B to $1.9BMar 26, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $2.0B to $1.9BMar 26, 2024 to Mar 26, 2025
- RAUM · $2.0B to $1.9BMar 26, 2024 to Mar 26, 2025
- Related adviser · false to trueMar 26, 2024 to Mar 26, 2025
- Accounts · 5 to 7Mar 30, 2023 to Mar 26, 2024
- Advisory employees · 61 to 55Mar 30, 2023 to Mar 26, 2024
- Pooled vehicle clients · 5 to 7Mar 30, 2023 to Mar 26, 2024
- Custody of client assets · true to falseMar 30, 2023 to Mar 26, 2024
- Employees · 61 to 55Mar 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $1.8B to $2.0BMar 30, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $1.8B to $2.0BMar 30, 2023 to Mar 26, 2024
- RAUM · $1.8B to $2.0BMar 30, 2023 to Mar 26, 2024
- Accounts · 7 to 5Dec 19, 2022 to Mar 30, 2023
- Advisory employees · 56 to 61Dec 19, 2022 to Mar 30, 2023
- Pooled vehicle clients · 7 to 5Dec 19, 2022 to Mar 30, 2023
- Employees · 56 to 61Dec 19, 2022 to Mar 30, 2023
- Private funds · 3 to 1Dec 19, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.7B to $1.8BDec 19, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.7B to $1.8BDec 19, 2022 to Mar 30, 2023
- RAUM · $1.7B to $1.8BDec 19, 2022 to Mar 30, 2023
- Advisory employees · 46 to 56Mar 29, 2021 to Mar 29, 2022
- Employees · 46 to 56Mar 29, 2021 to Mar 29, 2022
- Discretionary RAUM · $1.7B to $1.7BMar 29, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $1.7B to $1.7BMar 29, 2021 to Mar 29, 2022
- RAUM · $1.7B to $1.7BMar 29, 2021 to Mar 29, 2022
- Accounts · 11 to 7Mar 26, 2020 to Mar 29, 2021
- Advisory employees · 43 to 46Mar 26, 2020 to Mar 29, 2021
- Pooled vehicle clients · 11 to 7Mar 26, 2020 to Mar 29, 2021
- Employees · 43 to 46Mar 26, 2020 to Mar 29, 2021
- Private funds · 7 to 3Mar 26, 2020 to Mar 29, 2021
- Discretionary RAUM · $1.2B to $1.7BMar 26, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $1.2B to $1.7BMar 26, 2020 to Mar 29, 2021
Signals
5 dated events
- Jhett Michael Arman (Chief Compliance Officer And Chief Financial Officer) no longer on Schedule A of Rose Smart Growth Investment Advisors, Llc (listed 2022-03-29, absent 2022-12-19)Dec 19, 2022 · Control person left · inference
- Carolyn Au (Chief Compliance Officer) appeared on Schedule A of Rose Smart Growth Investment Advisors, LlcDec 19, 2022 · Control person joined · fact
- Rose Smart Growth Investment Advisors, Llc reported RAUM $1.7B, up 45% from $1.2B (2020-03-26 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Dennis Michael Daly (Chief Operating Officer) no longer on Schedule A of Rose Smart Growth Investment Advisors, Llc (listed 2018-03-30, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- Rose Smart Growth Investment Advisors, Llc reported RAUM $876.9M, up 71% from $513.9M (2017-09-11 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
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/jonathan-rose-companiesreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ROSECOMPANIES.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 917-542-3600reportedpublic record, Form ADV, Mar 26, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Rose Smart Growth Investment Advisors, LLC is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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