Rosen Capital Advisors, LLC

CRD#161161
Investment Advisor Firm

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Overview

Rosen Capital Advisors, LLC is a financial advisor company based in Los Angeles, California. Rosen Capital Advisors, LLC has $22.0 million in assets throughout nine customer accounts. It has a small group of one employee who is a financial advisor. Rosen Capital Advisors, LLC is not a registered broker-dealer, meaning the company is not able to buy and sell securities for its own accounts as well as its clients' and instead must go through a broker-dealer company to do so. Securities are defined as tradable financial investments such as stocks, options and bonds.

Rosen Capital Advisors, LLC oversees all of the company's accounts in a discretionary manner. Discretionary management signifies that a portfolio manager has the discretion to make buy and sell decisions without needing to seek the client's consent. The advisory firm administers about $2.4 million in assets for each customer account. The typical financial advisor at Rosen Capital Advisors, LLC oversees around nine client accounts, placing it among the more personalized financial advisor firms in the country.

The firm's main office is at 11835 W. Olympic Blvd., Suite 640E, Los Angeles, California 90064. The company is legally registered to serve customers in the state of California.

Assets Under Management

$22.0 million

Number of Advisors

1

Disclosures

No

Office Location

11835 W. Olympic Blvd., Suite 640E
Los Angeles, CA 90064

Rosen Capital Advisors, LLC by the Numbers

Total Assets Under Management

$22.0 million

National Average: $3.7 billion
Total Number of Employees

1

National Average: 29
Total Number of Accounts

9

National Average: 2,073
Average Account Size

$2.4 million

National Average: $1.8 million

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Products and Services

Rosen Capital Advisors, LLC provides a variety of services, including portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for institutional clients and publication of newsletters. The firm does not sell products or offer services apart from investment advice to its investment advisory accounts.

Core Advisor Services

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    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 62% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

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    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

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    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

  • Offered by 4% of firms

    Publication of Periodicals

    This is the publication of various financial education materials.

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    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

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Fee Structure

Financial management fees vary depending on which services the firm provides the client. However, fees charged by the company may include the following fee types: asset-based or performance-based. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the firm. It has the ability to withdraw its charges directly from customer funds.

Available

  • Offered by 74% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 17% of firms

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

Unavailable

  • Find one of the 35% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 40% of firms that offer this fee type

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

The company caters to retail investors and pooled investment vehicles. Out of its nine clients, Rosen Capital Advisors, LLC's largest client by number of accounts is retail investors. Just 3% of its customers are represented by non-U.S. persons.

  • High-Net-Worth Individuals* - 0%
  • Other Individuals - 66.67%
  • Corporations - 33.33%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Rosen Capital Advisors, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Rosen Capital Advisors, LLC

John Rosen
Los Angeles, CA

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This content was compiled from the SEC and FINRA