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 structured as an LLC. The firm serves both individual and family clients as well as institutional investors and offers a mix of financial planning and discretionary portfolio management, primarily for individuals and small businesses. Other client-facing activities include publication of periodicals or newsletters and delivery of educational seminars and workshops. Fees are charged on a percentage-of-AUM basis and supplemented by hourly and fixed-fee arrangements. The firm does not identify as an active ESG investor, is not a multi-state adviser, and does not act as a capital allocator.