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
Rosenberg Wealth Advisors
Legal name Rofi LLC
Latest filing Jul 29, 2026
First filing on the tape Mar 20, 2026 · 3 filings
SEC status approved since Mar 19, 2026
RAUM
$231M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$215M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$115M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$231M as of Jul 29, 2026
Mar 20, 2026$0 then
HNW client RAUM: $200M
State-registered IARs (5.B.3)2 as of Jul 29, 2026
Mar 20, 20262 then
Employees (5.A)5 as of Jul 29, 2026
Mar 20, 20265 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $115MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $517,889derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $201M, 109 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$200M87%
- Individuals$15.0M6.5%
- Corporations and businesses$14.3M6.2%
- Charitable organizations$1.2M0.5%
- Pension and profit-sharing plans$209,5460.1%
- Individual clients
- 73reported
- HNW clients
- 83reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 446reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $201M for 109 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jordan Scott Rosenberg | Birmingham, Mi | Mar 20, 2026 | 15 y | 1 |
| Laura Rubens Hartman | Birmingham, Mi | Mar 20, 2026 | 10 y | 3 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Laura Rubens Hartman from Robert W. Baird & Co. IncorporatedMar 20, 2026 · RIA to a newly registered adviser
- Jordan Scott Rosenberg from Robert W. Baird & Co. IncorporatedMar 20, 2026 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Robert W. Baird & Co. IncorporatedApr 17, 2026 · Birmingham, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Brett Daniel Rosenberg · Managing Partner And Chief Compliance Officercontrolsince 01/2026 · owns less than 5%
- Scott Jordan Rosenberg · Managing Partnercontrolsince 03/2026 · owns less than 5%
Entity owners
- Dbr Launch LLC · Ownerdirect · owns 25% to 50%
- Jsr Opco Holdings LLC · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Birmingham, Mi · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Jul 29, 2026custody of client assets (Item 9.A): no on the filing of 2026-06-26, yes on the filing of 2026-07-29peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 0 to 446Jun 26, 2026 to Jul 29, 2026
- Corporate clients · unset to 5.0Jun 26, 2026 to Jul 29, 2026
- HNW clients · unset to 83.0Jun 26, 2026 to Jul 29, 2026
- Individual clients · unset to 73.0Jun 26, 2026 to Jul 29, 2026
- Assets in custody · unset to 201498106.0Jun 26, 2026 to Jul 29, 2026
- Custody of client assets · false to trueJun 26, 2026 to Jul 29, 2026
- HQ city · to BIRMINGHAMJun 26, 2026 to Jul 29, 2026
- HQ state · to MIJun 26, 2026 to Jul 29, 2026
- Discretionary RAUM · $0 to $231MJun 26, 2026 to Jul 29, 2026
- HNW RAUM · unset to 200236951.0Jun 26, 2026 to Jul 29, 2026
- Individual RAUM · unset to 14998724.0Jun 26, 2026 to Jul 29, 2026
- Pension RAUM · unset to 209546.0Jun 26, 2026 to Jul 29, 2026
- RAUM · $0 to $231MJun 26, 2026 to Jul 29, 2026
Signals
1 dated events
- 2 advisors left Robert W. Baird & CO. Incorporated (Birmingham, MI) for Rosenberg Wealth Advisors on the same dayApr 17, 2026 · Team lift-out · 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
- Business email
- team@rwealthadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 248-325-5500reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/rosenbergwealthreportedpublic record, Form ADV, Sep 17, 2026
- Website
- rwealthadvisors.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (248) 325-5500reportedpublic record, Form ADV, Jul 29, 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
- $115Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026