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
Rothschild Investment
Legal name Rothschild Investment LLC
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 31 filings
SEC status approved since May 30, 1971
RAUM
$2.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$2.6B individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$164M
derived; firm RAUM over IAPD count
Employees
39
19 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$2.8B as of Mar 30, 2026
Mar 29, 2012$974M then
HNW client RAUM$2.4B as of Mar 30, 2026
Mar 28, 2018$913M then
State-registered IARs (5.B.3)19 as of Mar 30, 2026
Mar 28, 201325 then
Employees (5.A)39 as of Mar 30, 2026
Mar 28, 201350 then
Private funds1 as of Mar 30, 2026
Mar 29, 20121 then
RAUM +21% over the last fiscal year+20% a year over threeIARs 18 to 19offices 0 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- 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)
- RAUM per advisor
- $164MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $986,293derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 5.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +5.6%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +21%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, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $1.1B, 743 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 a broker-dealer (6.A.1)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$2.4B84%
- Individuals$282M10%
- Corporations and businesses$96.1M3.4%
- Charitable organizations$33.2M1.2%
- Pension and profit-sharing plans$23.0M0.8%
- Pooled investment vehicles$1.5M0.1%
- Individual clients
- 666reported
- HNW clients
- 525reported
- Pension plan clients
- 22reported
- Charitable clients
- 14reported
- Accounts
- 2,831reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 743 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=39.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Daniel Peyton HordChartered Financial Analyst | Chicago, Il | Jun 27, 2006 | 45 y | 0 |
| Christian Paul GeringerCertified Financial Planner | Chicago, Il | Sep 5, 2017 | 23 y | 0 |
| Ladd Edward SolomonCertified Financial Planner | Chicago, Il | Jun 2, 2020 | 19 y | 1 |
| Joseph Scott Sindelar | Chicago, Il | Jun 4, 2020 | 28 y | 3 |
| David Cutter DickmanCertified Financial Planner | Chicago, Il | May 5, 2022 | 11 y | 0 |
| Stephen Charles Baby | Chicago, Il | May 6, 2022 | 12 y | 0 |
| Skylar Shea Rush | Chicago, Il | Apr 24, 2023 | 10 y | 1 |
| Peter C JarrettChartered Financial Analyst | Chicago, Il | Oct 17, 2023 | 13 y | 0 |
| Samuel Peyton Hord | Chicago, Il | Feb 8, 2024 | 15 y | 0 |
| Thomas Andrew JanesChartered Financial Analyst | Chicago, Il | Mar 11, 2025 | 11 y | 0 |
| Chadwick Joseph SchlettChartered Financial Analyst | Chicago, Il | Apr 16, 2025 | 12 y | 0 |
| Joel Edward Solomon | Chicago, Il | Jun 17, 2025 | 35 y | 0 |
| Charlie Joseph Kuhn | Chicago, Il | Dec 4, 2025 | 10 y | 1 |
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 headcount0 left over 36 months
Left, latest
- Alexander I Crevi to Segall Bryant & HamillJul 8, 2021 · RIA to RIA
- Anne Fitzgerald Francissen to Rockefeller Capital ManagementMar 13, 2019 · RIA to affiliated broker-dealer or bank
- Donald Lee Roseen to United Advisors Services, LLCFeb 5, 2018 · Other
- Kirk Eugene Rascher to Uhlmann Investment Management, L.L.C.Jan 16, 2018 · Other
- James Hofheimer to Tidal Investments LLCAug 4, 2017 · Other
- John Neil Wood to Cambridge Investment Research Advisors, Inc.Jul 26, 2016 · Other
- John Baker Welch to William Blair & Company L.L.C.Mar 14, 2013 · Other
- Jonathon Anthony Bell to Saxony Capital Management, LLCJul 20, 2012 · Other
- James Edward Gaines to Saxony Capital Management, LLCJul 20, 2012 · Other
- Eugene Edward Johnson to Cambridge Investment Research Advisors, Inc.Nov 10, 2010 · Other
- Robert C Piton to Kovitz Investment Group, LLCJan 2, 2004 · Other
- John Joseph Conway to Kovitz Investment Group, LLCJan 2, 2004 · Other
- Mitchell Armin Kovitz to Kovitz Investment Group, LLCJan 2, 2004 · Other
Joined, latest
- Charlie Joseph Kuhn from J.P. Morgan Securities LLCDec 4, 2025 · Wirehouse to independent RIA
- Jacqueline Paredes Sedlak from Hightower Advisors, LLCJan 28, 2025 · Affiliated broker-dealer or bank to independent RIA
- Skylar Shea Rush from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 24, 2023 · Wirehouse to independent RIA
- Joseph Scott Sindelar from Lasalle Street Capital Management, LLCJun 4, 2020 · RIA to RIA
- Ladd Edward Solomon from Wells Fargo Investments, LLCJun 2, 2020 · Other
- Anne Fitzgerald Francissen from Ameriprise Financial Services, LLCJan 21, 2016 · Other
- James Hofheimer from Morgan StanleyJun 16, 2014 · Other
- James Allyn Franke from Robert W. Baird & Co. IncorporatedDec 15, 2011 · Other
- Jonathon Anthony Bell from Lasalle Financial Services, Inc.Jun 27, 2007 · Other
- Alexander I Crevi from Morgan Stanley Dw Inc.Sep 12, 2006 · Other
- Donald Lee Roseen from Banc One Securities CorporationJun 3, 2003 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Thomas Paine Investorsno longer reported | Other Private Fund | $91.9M | 21 | Mar 29, 2012 |
| Rothschild Wv II, LP | Venture Capital Fund | $1.5M | 9 | May 2, 2023 |
Owners and control persons
Schedule A and B, latest filing
- Joel Edward Solomon · Member, Officercontrolsince 10/2022 · owns less than 5%
- Curtis Robert Ellergodt · Finopsince 12/2023 · owns less than 5%
- James Allyn Franke · Member, Officersince 09/2023 · owns less than 5%
- Phillip Eugene Johnson · Member, Presidentsince 09/2023 · owns less than 5%
- Brian Douglas Lenart · Cco/Amlcosince 01/2024 · owns less than 5%
Entity owners
- Rothschild Holdings, LLC · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 17 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 30, 2026SOLOMON, JOEL EDWARD (MEMBER, OFFICER) left Schedule A between the filings of 2024-03-27 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
- compensation changedChange between filings · filing Mar 30, 2026performance-based compensation (Item 5.E.6): no on the filing of 2025-11-19, yes on the filing of 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,425 to 2,831Nov 19, 2025 to Mar 30, 2026
- Advisory employees · 18 to 19Nov 19, 2025 to Mar 30, 2026
- BD registered reps · 38 to 39Nov 19, 2025 to Mar 30, 2026
- Charity clients · 16 to 14Nov 19, 2025 to Mar 30, 2026
- Corporate clients · 14 to 18Nov 19, 2025 to Mar 30, 2026
- HNW clients · 773 to 525Nov 19, 2025 to Mar 30, 2026
- Individual clients · 209 to 666Nov 19, 2025 to Mar 30, 2026
- Pension plan clients · 35 to 22Nov 19, 2025 to Mar 30, 2026
- Pooled vehicle clients · 0 to 1Nov 19, 2025 to Mar 30, 2026
- Assets in custody · $25.6M to $1.1BNov 19, 2025 to Mar 30, 2026
- Employees · 41 to 39Nov 19, 2025 to Mar 30, 2026
- Insurance-licensed employees · 7 to 13Nov 19, 2025 to Mar 30, 2026
- State-registered IARs · 18 to 19Nov 19, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.3B to $2.8BNov 19, 2025 to Mar 30, 2026
- HNW RAUM · $1.7B to $2.4BNov 19, 2025 to Mar 30, 2026
- Individual RAUM · $446M to $282MNov 19, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $30.9M to $1.6MNov 19, 2025 to Mar 30, 2026
- Pension RAUM · $61.4M to $23.0MNov 19, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $0 to $1.5MNov 19, 2025 to Mar 30, 2026
- RAUM · $2.3B to $2.8BNov 19, 2025 to Mar 30, 2026
- Commission compensation · true to falseAug 27, 2025 to Nov 19, 2025
- Assets in custody · unset to 25558830.0Apr 28, 2025 to Aug 27, 2025
- Custody of client assets · false to trueApr 28, 2025 to Aug 27, 2025
- Other offices · 0 to 2Apr 28, 2025 to Aug 27, 2025
- Accounts · 2,211 to 2,425Jun 20, 2024 to Apr 28, 2025
- Advisory employees · 20 to 18Jun 20, 2024 to Apr 28, 2025
- Advisory activities · 4 to 6Jun 20, 2024 to Apr 28, 2025
- BD registered reps · 25 to 38Jun 20, 2024 to Apr 28, 2025
- Business name · ROTHSCHILD INVESTMENT CORPORATION to ROTHSCHILD INVESTMENTJun 20, 2024 to Apr 28, 2025
- Charity clients · 12 to 16Jun 20, 2024 to Apr 28, 2025
- Corporate clients · 38 to 14Jun 20, 2024 to Apr 28, 2025
- HNW clients · 453 to 773Jun 20, 2024 to Apr 28, 2025
- Individual clients · 1,662 to 209Jun 20, 2024 to Apr 28, 2025
- Pension plan clients · 46 to 35Jun 20, 2024 to Apr 28, 2025
- Assets in custody · 858561712.0 to unsetJun 20, 2024 to Apr 28, 2025
- Custody of client assets · true to falseJun 20, 2024 to Apr 28, 2025
- Employees · 40 to 41Jun 20, 2024 to Apr 28, 2025
- Insurance-licensed employees · 0 to 7Jun 20, 2024 to Apr 28, 2025
- Financial planning clients · 0 to 51-100Jun 20, 2024 to Apr 28, 2025
- State-registered IARs · 20 to 18Jun 20, 2024 to Apr 28, 2025
Signals
7 dated events
- Richard Foreman Karger (Officer) no longer on Schedule A of Rothschild Investment (listed 2023-05-02, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Paul Edward Geringer (Officer) no longer on Schedule A of Rothschild Investment (listed 2023-05-02, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Bradley Charles Drake (Officer, Cco) no longer on Schedule A of Rothschild Investment (listed 2023-05-02, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Bart Richard Bonga (President) no longer on Schedule A of Rothschild Investment (listed 2022-10-26, absent 2022-11-21)Nov 21, 2022 · Control person left · inference
- Rothschild Investment Corporation reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 26, 2022 · Succession (Item 4) · fact
- Robert Melvin Steiner (Executive Vice President) no longer on Schedule A of Rothschild Investment (listed 2021-10-22, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Rothschild Investment reported RAUM $1.4B, up 30% from $1.1B (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Rothschild Investment Corporation · Private Equityshared crd · intermediary
- Rothschild Investment Corporation · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 312-983-8900reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/rothschild-wealth-partners/posts/?feedVreportedpublic record, Form ADV, Sep 18, 2026
- Website
- rothschildwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-983-8900reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- rothschildwealth.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- rothschildwealth.com/our-teamreportedpublished 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
- $164Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026