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.

Former SEC-registered adviser

Rosebrook Capital Partners

Former SEC-registered adviserNew York, New YorkCRD 161368SEC 801-73304IAPD
Legal name Rosebrook Capital Partners LLC
Latest filing Mar 7, 2018
First filing on the tape Feb 10, 2012 · 13 filings
RAUM
$137M
reported, Item 5.F
Discretionary
14%
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
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$13.3M gross assets
History
13 filings and snapshots on the tape
RAUM$137M as of Mar 7, 2018
Mar 26, 2013$271M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 7, 2018
Mar 26, 20130 then
Employees (5.A)4 as of Mar 7, 2018
Mar 26, 20136 then
Private funds: 2
RAUM -22% over the last fiscal year-30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 7, 2018; 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
$34.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
14%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-22%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-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$12.0M, 2 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
  • Banks and thrifts$118M86%
  • Pooled investment vehicles$19.0M14%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$12.0M for 2 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Rosebrook 2017 Co-Invest I LPHedge Fund$10.0M15Mar 7, 2018
      Rosebrook Opportunities Fund LPHedge Fund$3.3M11Mar 7, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • Ferdinand Joseph Huber · Chief Operating Officer / Chief Compliance Officercontrol
        since 02/2012 · owns less than 5%
      • David Andrew Lawrence · Chief Executive Officer, Managing Membercontrol
        since 10/2015 · owns 75% or more
      • Michael Jonathan Lewis · Member
        since 10/2015 · owns less than 5%
      • James Shinn · Member
        since 10/2015 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • Rosebroook Fund Gp LLC
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Bozeman, MT1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 4
        Mar 28, 2017 to Mar 7, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 28, 2017 to Mar 7, 2018
      • Assets in custody · unset to 12000000.0
        Mar 28, 2017 to Mar 7, 2018
      • Custody of client assets · false to true
        Mar 28, 2017 to Mar 7, 2018
      • Other offices · unset to 1.0
        Mar 28, 2017 to Mar 7, 2018
      • Private funds · unset to 2
        Mar 28, 2017 to Mar 7, 2018
      • Discretionary RAUM · $0 to $19.0M
        Mar 28, 2017 to Mar 7, 2018
      • Non-discretionary RAUM · $175M to $118M
        Mar 28, 2017 to Mar 7, 2018
      • Pooled vehicle RAUM · unset to 19000000.0
        Mar 28, 2017 to Mar 7, 2018
      • RAUM · $175M to $137M
        Mar 28, 2017 to Mar 7, 2018
      • Non-discretionary RAUM · $279M to $175M
        Mar 23, 2016 to Mar 28, 2017
      • RAUM · $279M to $175M
        Mar 23, 2016 to Mar 28, 2017
      • Accounts · 2 to 1
        Oct 28, 2015 to Mar 23, 2016
      • Advisory employees · 4 to 3
        Oct 28, 2015 to Mar 23, 2016
      • Employees · 6 to 4
        Oct 28, 2015 to Mar 23, 2016
      • Non-discretionary RAUM · $400M to $279M
        Oct 28, 2015 to Mar 23, 2016
      • RAUM · $400M to $279M
        Oct 28, 2015 to Mar 23, 2016
      • Accounts · 3 to 2
        Mar 10, 2014 to Mar 16, 2015
      • Non-discretionary RAUM · $430M to $400M
        Mar 10, 2014 to Mar 16, 2015
      • RAUM · $430M to $400M
        Mar 10, 2014 to Mar 16, 2015
      • Non-discretionary RAUM · $270M to $430M
        Nov 27, 2013 to Mar 10, 2014
      • RAUM · $270M to $430M
        Nov 27, 2013 to Mar 10, 2014
      • Discretionary RAUM · $174M to $0
        Mar 26, 2013 to Jun 28, 2013
      • Non-discretionary RAUM · $97.0M to $270M
        Mar 26, 2013 to Jun 28, 2013
      • RAUM · $271M to $270M
        Mar 26, 2013 to Jun 28, 2013
      • Accounts · 1 to 3
        Oct 23, 2012 to Mar 26, 2013
      • Advisory employees · unset to 4.0
        Oct 23, 2012 to Mar 26, 2013
      • Advisory activities · 3 to 2
        Oct 23, 2012 to Mar 26, 2013
      • BD registered reps · unset to 0.0
        Oct 23, 2012 to Mar 26, 2013
      • Employees · unset to 6.0
        Oct 23, 2012 to Mar 26, 2013
      • State-registered IARs · unset to 0.0
        Oct 23, 2012 to Mar 26, 2013
      • Discretionary RAUM · $0 to $174M
        Oct 23, 2012 to Mar 26, 2013
      • Non-discretionary RAUM · $115M to $97.0M
        Oct 23, 2012 to Mar 26, 2013
      • RAUM · $115M to $271M
        Oct 23, 2012 to Mar 26, 2013
      • Accounts · unset to 1.0
        Feb 10, 2012 to Jun 21, 2012
      • Discretionary RAUM · unset to 0.0
        Feb 10, 2012 to Jun 21, 2012
      • Non-discretionary RAUM · unset to 115000000.0
        Feb 10, 2012 to Jun 21, 2012
      • RAUM · unset to 115000000.0
        Feb 10, 2012 to Jun 21, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda 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