ROTHSCHILD INVESTMENT

Broker-DealerFINRA MemberEst. 1971
Total AUM
$2.8B
Discretionary
$2.8B
100% of AUM
Accounts
2,831
Employees
39
Advisory reps
45
Brokerage reps
39

Firm details

Headquarters
CHICAGO, Illinois
CRD number
728
Registered since
May 30, 1971
Website
rothschildwealth.com
Custodians
PERSHING LLC, CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees, Performance Based Fees
Client types
  • HNWI84.4%
  • Individuals10.09%
  • Corporations / Businesses3.44%
  • Charitable Organizations1.19%
  • Pension & Profit Sharing Plans0.82%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Rothschild Investment is organized as an LLC and has been SEC-registered since 1971. The firm operates as an insurance broker-dealer that also functions as a capital allocator, serving both individual/family and institutional clients. Its advisory services cover financial planning, portfolio management for individuals, small businesses and institutions, pension consulting, selection of sub‑advisers, and investor education. Compensation is flexible and includes asset‑based fees, hourly and fixed fees, and performance‑linked arrangements. The firm does not identify as an active ESG investor and is not registered as a multistate adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 73%, US Government Bonds 7%, State & Local Bonds 7%, Cash & Cash Equivalents 7%, Investment Grade Corp Bonds 3%, Non-Investment Grade Corp Bonds 1%, Derivatives 1%, Other 1%73%
  • Exchange Traded Equities73%
  • US Government Bonds7%
  • State & Local Bonds7%
  • Cash & Cash Equivalents7%
  • Investment Grade Corp Bonds3%

Owners & executives

2 of 2

  • THOMAS OBRIEN

    Chief Growth OfficerCRD 5230392

  • CURTIS ELLERGODT

    Chief Operating OfficerCRD 6012133

Contacts

3 of 43

  • PAUL GERINGER

    Executive Vice PresidentCRD 1000709

  • JOEL SOLOMON

    Executive Vice PresidentCRD 704990

  • JAMES DAWSON

    Wealth AdvisorCRD 6295621

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 558

Active vs passive

$583M in ETFs

Passive

49%

$287M

Active

44%

$296M

ETFProviderStyleCategoryValueShares% of portfolio
INVESCO RAFI US 1000 ETF (PRF)InvescoPassiveLarge Value$30.6M643,0095.24%
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Location

Primary office

CHICAGO, IL

COOK

Location

CHICAGO, IL

Headquartered in CHICAGO, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.

Metro area
Chicago-Naperville, IL-IN-WI
Region
Midwest
County
COOK
Address
311 S Wacker Dr
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth