Rothman Investment Management, LLC

RIASEC Registered

Total AUM

$105M

Discretionary

$104M

100% of AUM

Avg account

$218K

Accounts

479

Employees

Advisory reps

Firm details

Headquarters: Atascadero, California
CRD number: 173139
Website: rothmaninvest.com
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: HNWI42.21%
Individuals29.25%
Charitable Organizations14.42%
Corporations / Businesses13.87%
Pension & Profit Sharing Plans0.25%
Services: Financial PlanningPortfolio Management for IndividualsPublication of PeriodicalsEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Rothman Investment Management, LLC is an independent, owner-operated registered investment adviser that serves both individual/family and institutional clients. The firm combines portfolio management with financial planning and offers a mix of fee arrangements — percentage of assets under management, hourly billing, and fixed fees. Beyond one-on-one advisory work, Rothman produces periodicals and runs educational seminars and workshops. It does not identify as an active ESG investor and its reporting indicates it is not a multi-state adviser or a pension consultant.