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

Rosenbaum Financial

Former SEC-registered adviserPortland, OregonCRD 173805SEC 801-80682IAPD
Legal name Rosenbaum Financial, Inc.
Latest filing Jun 10, 2021
First filing on the tape Nov 26, 2014 · 26 filings
RAUM
$419M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
66%
$278M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$419M as of Mar 30, 2021
Mar 12, 2015$156M then
HNW client RAUM$203M as of Mar 30, 2021
Mar 30, 2018$124M then
State-registered IARs (5.B.3)8 as of Mar 30, 2021
Mar 12, 20159 then
Employees (5.A)10 as of Mar 30, 2021
Mar 12, 201512 then
Private funds: no history
RAUM +17% over the last fiscal year+13% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Jun 10, 2021; every figure names its basis
RAUM per advisor
$52.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
28derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
34%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+14%derivedItem 5.B.3 between annual amendments
Client growth, one year
+10%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Wrap fee program
$270MreportedItem 5.I
Custody
$102M, 9 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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$203M49%
  • Pension and profit-sharing plans$140M33%
  • Individuals$75.1M18%
  • Charitable organizations$220,5600.1%
Individual clients
171reported
HNW clients
56reported
Pension plan clients
25reported
Charitable clients
n/areported
Accounts
254reported
Financial planning clients
1-10reported
Wrap fee programs
$270M sponsored, $0 managedreported
Custody of client assets
$102M for 9 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Phillip Mark Rosenbaum · President, Shareholder, Chief Compliance Officercontrol
    since 08/2002 · owns 75% or more
  • Sue Kimberly Rosenberg · Managing Principal/Shareholder
    since 01/2019 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 657 to 254
    Jun 10, 2020 to Mar 30, 2021
  • Advisory employees · 7 to 9
    Jun 10, 2020 to Mar 30, 2021
  • HNW clients · 66 to 56
    Jun 10, 2020 to Mar 30, 2021
  • Individual clients · 140 to 171
    Jun 10, 2020 to Mar 30, 2021
  • Pension plan clients · 33 to 25
    Jun 10, 2020 to Mar 30, 2021
  • Assets in custody · $101M to $102M
    Jun 10, 2020 to Mar 30, 2021
  • Employees · 9 to 10
    Jun 10, 2020 to Mar 30, 2021
  • Financial planning clients · 26-50 to 1-10
    Jun 10, 2020 to Mar 30, 2021
  • State-registered IARs · 7 to 8
    Jun 10, 2020 to Mar 30, 2021
  • Discretionary RAUM · $321M to $380M
    Jun 10, 2020 to Mar 30, 2021
  • HNW RAUM · $183M to $203M
    Jun 10, 2020 to Mar 30, 2021
  • Individual RAUM · $45.6M to $75.1M
    Jun 10, 2020 to Mar 30, 2021
  • Non-discretionary RAUM · $37.5M to $38.9M
    Jun 10, 2020 to Mar 30, 2021
  • Pension RAUM · $130M to $140M
    Jun 10, 2020 to Mar 30, 2021
  • RAUM · $359M to $419M
    Jun 10, 2020 to Mar 30, 2021
  • Wrap assets (sponsor) · $250M to $270M
    Jun 10, 2020 to Mar 30, 2021
  • Accounts · 286 to 657
    Mar 28, 2019 to Mar 31, 2020
  • Advisory employees · 6 to 7
    Mar 28, 2019 to Mar 31, 2020
  • HNW clients · 51 to 66
    Mar 28, 2019 to Mar 31, 2020
  • Individual clients · 230 to 140
    Mar 28, 2019 to Mar 31, 2020
  • Pension plan clients · unset to 33.0
    Mar 28, 2019 to Mar 31, 2020
  • Assets in custody · $88.6M to $101M
    Mar 28, 2019 to Mar 31, 2020
  • Employees · 7 to 9
    Mar 28, 2019 to Mar 31, 2020
  • State-registered IARs · 6 to 7
    Mar 28, 2019 to Mar 31, 2020
  • Discretionary RAUM · $312M to $321M
    Mar 28, 2019 to Mar 31, 2020
  • HNW RAUM · $222M to $183M
    Mar 28, 2019 to Mar 31, 2020
  • Individual RAUM · $22.1M to $45.6M
    Mar 28, 2019 to Mar 31, 2020
  • Non-discretionary RAUM · $7.8M to $37.5M
    Mar 28, 2019 to Mar 31, 2020
  • Pension RAUM · $74.0M to $130M
    Mar 28, 2019 to Mar 31, 2020
  • RAUM · $319M to $359M
    Mar 28, 2019 to Mar 31, 2020
  • Wrap assets (sponsor) · $218M to $250M
    Mar 28, 2019 to Mar 31, 2020
  • Accounts · 474 to 286
    Jun 7, 2018 to Mar 28, 2019
  • Corporate clients · 10.0 to unset
    Jun 7, 2018 to Mar 28, 2019
  • HNW clients · 31 to 51
    Jun 7, 2018 to Mar 28, 2019
  • Individual clients · 187 to 230
    Jun 7, 2018 to Mar 28, 2019
  • Assets in custody · $3.6M to $88.6M
    Jun 7, 2018 to Mar 28, 2019
  • Financial planning clients · 11-25 to 26-50
    Jun 7, 2018 to Mar 28, 2019
  • Discretionary RAUM · $288M to $312M
    Jun 7, 2018 to Mar 28, 2019
  • HNW RAUM · $124M to $222M
    Jun 7, 2018 to Mar 28, 2019
  • Individual RAUM · $76.1M to $22.1M
    Jun 7, 2018 to Mar 28, 2019
Signals
7 dated events
  • Katherine Anne Quick left Rosenbaum Financial for Coldstream Wealth Management (registered 2021-10-12)
    Mar 31, 2022 · Advisor changed firm · fact
  • Katelyn Elizabeth Spangler left Rosenbaum Financial for Coldstream Wealth Management (registered 2021-10-11)
    Mar 31, 2022 · Advisor changed firm · fact
  • Mark Phillip Rosenbaum left Rosenbaum Financial for Coldstream Wealth Management (registered 2021-10-11)
    Mar 31, 2022 · Advisor changed firm · fact
  • Kimberly Sue Rosenberg left Rosenbaum Financial for Coldstream Wealth Management (registered 2026-01-01)
    Mar 31, 2022 · Advisor changed firm · fact
  • Darin Andrew Sevier left Rosenbaum Financial for Coldstream Wealth Management (registered 2025-01-15)
    Mar 31, 2022 · Advisor changed firm · fact
  • Rosenbaum Financial's advisors moved to Coldstream Wealth Management (Portland, OR): 5 of 5 registered, on the same day
    Mar 31, 2022 · Firm absorbed (people side) · derived
  • Rosenbaum Financial filed its initial SEC registration (Form ADV)
    Nov 26, 2014 · 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.
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