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 Capital Advisors, LLC
Latest filing Aug 12, 2026
First filing on the tape Sep 18, 2014 · 41 filings
SEC status approved since Oct 1, 2014
RAUM
$608M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
99%
$602M individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$43.5M
derived; firm RAUM over IAPD count
Employees
14
9 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
1
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$608M as of Aug 12, 2026
Feb 12, 2015$108M then
HNW client RAUM$572M as of Aug 12, 2026
Mar 30, 2018$200M then
State-registered IARs (5.B.3)11 as of Aug 12, 2026
Feb 12, 20154 then
Employees (5.A)14 as of Aug 12, 2026
Feb 12, 20156 then
Private funds1 as of Aug 12, 2026
Mar 28, 20241 then
RAUM -8.3% over the last fiscal year+14% a year over threeIARs 10 to 11offices 2 to 6
Practice profile
derived from the filing of Aug 12, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $43.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $663,376derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.7%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $485MreportedItem 5.I
- Custody
- $220M, 148 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$572M94%
- Individuals$30.6M5.0%
- Charitable organizations$5.9M1.0%
- Individual clients
- 131reported
- HNW clients
- 232reported
- Pension plan clients
- n/areported
- Charitable clients
- 12reported
- Accounts
- 917reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $220M for 148 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=8.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Joseph RoseCertified Financial Planner | Miami Beach, Fl | Oct 11, 2014 | 28 y | 2 |
| Miguel Sosa | Coral Gables, Fl | Feb 15, 2016 | 43 y | 1 |
| Eddy J Park | Miami Beach, Fl | Feb 23, 2016 | 15 y | 1 |
| Ashley Marie Kulju | Miami Beach, Fl | Oct 16, 2018 | 15 y | 1 |
| Daniel Rosales | Miami Beach, Fl | Feb 12, 2019 | 16 y | 2 |
| Roberto Luis Lizama | Miami Beach, Fl | Apr 22, 2020 | 29 y | 4 |
| Jonathan Binns | Miami Beach, Fl | Jun 8, 2020 | 10 y | 0 |
| Jamel GordonCertified Financial Planner | Miami Beach, Fl | Apr 4, 2022 | 16 y | 4 |
| Brendan Michael Reardon | East Falmouth, Ma | Jan 24, 2023 | 16 y | 0 |
| Sanjeev Yadav | Boston, Ma | May 17, 2024 | 11 y | 0 |
| Mitchell Allan Romano | Miami Beach, Fl | Jan 1, 2025 | 18 y | 1 |
| Robert Evan Hill | Miami Beach, Fl | Jul 10, 2025 | 33 y | 4 |
| Annamalai Ramaswamy | Miami Beach, Fl | Feb 11, 2026 | 25 y | 1 |
| Shummi P Jindal | Miami Beach, Fl | Mar 20, 2026 | 15 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Gareth John Vaughan Evans to Brainvest Wealth Management LLCMay 9, 2025 · RIA to RIA
- Eugene Charles Sulzberger to Sulzberger Capital Advisors, Inc.May 7, 2015 · Other
Joined, latest
- Annamalai Ramaswamy from Neuberger Berman Bd LLCFeb 11, 2026 · Other
- Robert Evan Hill from Morgan StanleyJul 10, 2025 · Wirehouse to independent RIA
- Mitchell Allan Romano from Dominick & Dominick LLCJan 1, 2025 · Other
- Jamel Gordon from Provenance Wealth AdvisorsApr 4, 2022 · Other
- Roberto Luis Lizama from Ipg Investment Advisors, LLCApr 22, 2020 · RIA to RIA
- Ashley Marie Kulju from Microsigma Capital Management, LLCOct 16, 2018 · Other
- Eugene Charles Sulzberger from Tandragee Global Advisors, LLCOct 17, 2014 · Other
- Michael Joseph Rose from Tandragee Global Advisors, LLCOct 11, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Tandragee Global Advisors, LLCFeb 5, 2015 · Boynton Beach, Fl
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Rose Capital Advisors Vintage Fund I, L.P. | Other Private Fund | $0 | 0 | Oct 6, 2023 |
Owners and control persons
Schedule A and B, latest filing
- Joseph Michael Rose · Chief Compliance Officer And Managing Membercontrolsince 09/2014 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami Beach, Fl · principal | 14 | 5 | 0 | ||
| Coral Gables, Fl | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Succession · true to falseJul 31, 2026 to Aug 12, 2026
- Other offices · 5 to 6Apr 2, 2026 to Jul 31, 2026
- Related adviser · false to trueApr 2, 2026 to Jul 31, 2026
- Succession · false to trueApr 2, 2026 to Jul 31, 2026
- Accounts · 911 to 917Jul 25, 2025 to Mar 30, 2026
- Advisory employees · 7 to 9Jul 25, 2025 to Mar 30, 2026
- Charity clients · 13 to 12Jul 25, 2025 to Mar 30, 2026
- HNW clients · 238 to 232Jul 25, 2025 to Mar 30, 2026
- Individual clients · 135 to 131Jul 25, 2025 to Mar 30, 2026
- Assets in custody · $229M to $220MJul 25, 2025 to Mar 30, 2026
- Employees · 10 to 14Jul 25, 2025 to Mar 30, 2026
- State-registered IARs · 10 to 11Jul 25, 2025 to Mar 30, 2026
- Other offices · 3 to 5Jul 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $476M to $485MJul 25, 2025 to Mar 30, 2026
- HNW RAUM · $627M to $572MJul 25, 2025 to Mar 30, 2026
- Individual RAUM · $27.6M to $30.6MJul 25, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $188M to $123MJul 25, 2025 to Mar 30, 2026
- RAUM · $664M to $608MJul 25, 2025 to Mar 30, 2026
- Financial planning clients · 251-500 to 251-500Jun 20, 2025 to Jul 25, 2025
- Other offices · 2 to 3Mar 31, 2025 to Jun 20, 2025
- Accounts · 813 to 911Nov 19, 2024 to Mar 31, 2025
- Charity clients · 6 to 13Nov 19, 2024 to Mar 31, 2025
- HNW clients · 209 to 238Nov 19, 2024 to Mar 31, 2025
- Individual clients · 102 to 135Nov 19, 2024 to Mar 31, 2025
- Assets in custody · $137M to $229MNov 19, 2024 to Mar 31, 2025
- State-registered IARs · 8 to 10Nov 19, 2024 to Mar 31, 2025
- Discretionary RAUM · $366M to $476MNov 19, 2024 to Mar 31, 2025
- HNW RAUM · $518M to $627MNov 19, 2024 to Mar 31, 2025
- Individual RAUM · $19.2M to $27.6MNov 19, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $177M to $188MNov 19, 2024 to Mar 31, 2025
- RAUM · $543M to $664MNov 19, 2024 to Mar 31, 2025
- Accounts · 669 to 813Feb 14, 2024 to Mar 28, 2024
- Charity clients · 8 to 6Feb 14, 2024 to Mar 28, 2024
- HNW clients · 183 to 209Feb 14, 2024 to Mar 28, 2024
- Individual clients · 103 to 102Feb 14, 2024 to Mar 28, 2024
- Assets in custody · $103M to $137MFeb 14, 2024 to Mar 28, 2024
- Financial planning clients · 101-250 to 251-500Feb 14, 2024 to Mar 28, 2024
- Discretionary RAUM · $245M to $366MFeb 14, 2024 to Mar 28, 2024
- HNW RAUM · $390M to $518MFeb 14, 2024 to Mar 28, 2024
- Individual RAUM · $14.9M to $19.2MFeb 14, 2024 to Mar 28, 2024
Signals
4 dated events
- Rose Capital Advisors, Llc reported succeeding to the business of Premia Global Advisors, Llc (Form ADV Item 4)Jul 31, 2026 · Succession (Item 4) · fact
- Gareth John Vaughan Evans left Rose Capital Advisors, Llc for Brainvest Wealth Management Llc (registered 2025-06-06)May 9, 2025 · Advisor changed firm · fact
- Rose Capital Advisors, Llc reported RAUM $543.2M, up 33% from $409.6M (2024-02-14 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Rose Capital Advisors, Llc filed its initial SEC registration (Form ADV)Sep 18, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Rose Capital Advisors, LLC · Independent Sponsorsshared crd · capital_provider
- Rose Capital Advisors, LLC · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Business email
- info@rosecapitaladvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/ROSE-CAPITAL-ADVISORSreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ROSECAPITALADVISORS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 305-534-7673reportedpublic record, Form ADV, Aug 12, 2026
- Contact form
- rosecapitaladvisors.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- rosecapitaladvisors.com/who-we-arereportedpublished 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
- $43.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026