Investment adviser · CRD 110349

ROTHSCHILD & CO ASSET MANAGEMENT US INC.

Investment adviser filing (IA)

STAMFORD, CT, United States · Form ADV filed Mar 29, 2023

Regulatory AUM: $6.48B
Client accounts: 1,107
Employees: 31
Advisory professionals: 15

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Investment companies	7	$3,314,795,383	51.2%
Pooled investment vehicles	9	$1,235,238,540	19.1%
Retirement plans	14	$492,964,055	7.6%
Individuals	874	$407,227,689	6.3%
Corporations & businesses	34	$320,251,325	4.9%
High-net-worth individuals	116	$262,874,676	4.1%
Government entities	9	$252,795,977	3.9%
Charities	39	$183,842,650	2.8%
Other clients	5	$5,187,785	0.1%

Filing source

Form ADV 1738719 · Mar 29, 2023 · 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

7 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

ROTHSCHILD & CO SMALL-CAP TRUSTOther Private Fund · Last reported Mar 29, 2023$72.4MGross asset value

Fund administrator THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE LLP CHICAGO, Illinois, United States

Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

DELOITTE & TOUCHE LLP
PCAOB 34

Fund details & source

Fund ID: 805-6707562464
Reported beneficial owners: 9
Minimum commitment: $1M
Form D file number: 021-173682

Form ADV 1738719 · Mar 29, 2023 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ROTHSCHILD & CO SMALL/MID-CAP FUND, L.L.C.Other Private Fund · Last reported Mar 29, 2023$20.6MGross asset value

Fund administrator THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE LLP CHICAGO, Illinois, United States

Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

DELOITTE & TOUCHE LLP
PCAOB 34

Fund details & source

Fund ID: 805-5005728158
Reported beneficial owners: 3
Minimum commitment: $1M
Form D file number: 021-58166

Form ADV 1738719 · Mar 29, 2023 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ROTHSCHILD & CO LARGE-CAP VALUE FUND, LLCOther Private Fund · Last reported Mar 29, 2023$18.7MGross asset value

Fund administrator THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE LLP CHICAGO, Illinois, United States

Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

DELOITTE & TOUCHE LLP
PCAOB 34

Fund details & source

Fund ID: 805-8176158954
Reported beneficial owners: 5
Minimum commitment: $1M
Form D file number: 021-133589

Form ADV 1738719 · Mar 29, 2023 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ROTHSCHILD SPECIAL OPPORTUNITIES FUND LLCHedge Fund · Last reported Jul 3, 2017$136MGross asset value

Fund administrator BANK OF NEW YORK MELLON NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE LLP CHICAGO, Illinois, United States

Custodian BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-8092635041
Reported beneficial owners: 1
Minimum commitment: $1M
Form D file number: 021-249458

Form ADV 1125566 · Jul 3, 2017 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ROTHSCHILD & CO LARGE-CAP CORE FUND, LLCOther Private Fund · Last reported Oct 30, 2020$38.2MGross asset value

Form D fundraising filings

ROTHSCHILD & CO LARGE-CAP CORE FUND, LLC

Fund administrator THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE LLP CHICAGO, Illinois, United States

Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

DELOITTE & TOUCHE LLP
PCAOB 34

Fund details & source

Fund ID: 805-2815006066
Reported beneficial owners: 4
Minimum commitment: $1M
Form D file number: 021-173681

Form ADV 1465226 · Oct 30, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

R ALTERNATIVE INCOME OFFSHORE FUND LTD.Hedge Fund · Last reported Jul 3, 2017$35.4MGross asset value

Fund administrator CACEIS BANK LUXEMBOURG LUXEMBOURG, Luxembourg Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE LLP CHICAGO, Illinois, United States

Custodian CACEIS BANK LUXEMBOURG LUXEMBOURG, Luxembourg Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-5232836386
Reported beneficial owners: 2
Minimum commitment: $1M
Form D file number: 021-279178

Form ADV 1125566 · Jul 3, 2017 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ROTHSCHILD SPECIAL OPPORTUNITIES FUND LTD.Hedge Fund · Last reported Jul 3, 2017$32.3MGross asset value

Fund administrator BANK OF NEW YORK MELLON NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE LLP CHICAGO, Illinois, United States

Custodian BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-5418621745
Reported beneficial owners: 1
Minimum commitment: $1M
Form D file number: 021-273944

Form ADV 1125566 · Jul 3, 2017 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 29, 2023. View historical filings

Reported services

Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Business portfolio management · Selection of other advisers

Compensation

Percentage of assets · Performance-based

Principal office

1 STATION PLACE, SUITE 470
STAMFORD, CT, 06902, United States

CRD 110349

Filing source

Form ADV 1738719 · Mar 29, 2023 · 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.