Investment adviser · CRD 128368
ROTH ASSET MANAGEMENT, INC.
Investment adviser filing (IA)
· Form ADV filed Aug 21, 2024
- Regulatory AUM
- $132M Form ADV · Item 5.F
- Client accounts
- 58 Accounts, not individual clients
- Employees
- 1 Reported in this filing
- Advisory professionals
- 1 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| High-net-worth individuals | 23 | $101,041,009 | 76.5% |
| Corporations & businesses | Fewer than 5 | $24,510,443 | 18.6% |
| Charities | Fewer than 5 | $3,859,505 | 2.9% |
| Individuals | 6 | $2,585,183 | 2.0% |
| Retirement plans | 14 | $0 | 0.0% |
Filing source
Form ADV 1896750 · Aug 21, 2024 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
0 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
This filing answers No to private funds.
Services & filing details
Most recent filing: Aug 21, 2024. View historical filings
Reported services
Individual portfolio management · Business portfolio management · Pension consulting
Compensation
Percentage of assets · Hourly · Fixed
Principal office
CRD 128368
Filing source
Form ADV 1896750 · Aug 21, 2024 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.