Investment adviser · CRD 728

ROTHSCHILD INVESTMENT

Investment adviser filing (IA)

ROTHSCHILD INVESTMENT LLC

CHICAGO, IL, United States · Form ADV filed Mar 30, 2026

Regulatory AUM
$2.79B
Form ADV · Item 5.F
Client accounts
2,831
Accounts, not individual clients
Employees
39
Reported in this filing
Advisory professionals
19
Investment advisory functions

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client typeClientsRegulatory assetsShare of AUM
High-net-worth individuals525$2,356,654,27984.4%
Individuals666$281,808,73610.1%
Corporations & businesses18$96,072,5873.4%
Charities14$33,156,1891.2%
Retirement plans22$23,004,4380.8%
Pooled investment vehicles1$1,500,0000.1%
Filing source

Form ADV 2085072 · Mar 30, 2026 · 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

2 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 WV II, LPVenture Capital Fund · Last reported Mar 30, 2026$1.5MGross asset value
Custodian EQUITY TRUST COMPANY WESTLAKE, Ohio, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

EQUITY TRUST COMPANY
LEI 05-0552743

Fund details & source
Fund ID
805-9076910181
Reported beneficial owners
9
Minimum commitment
$0
Form D file number
021-1970511

Form ADV 2085072 · Mar 30, 2026 · 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.

THOMAS PAINE INVESTORSOther Private Fund · Last reported Jun 29, 2020$91.9MGross asset value
Auditor RSM U.S. LLP CHICAGO, Illinois, United States
Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

RSM U.S. LLP
PCAOB 49

PERSHING LLC
SEC 8-17574

Fund details & source
Fund ID
805-7519281765
Reported beneficial owners
21
Minimum commitment
$1M

Form ADV 1429982 · Jun 29, 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.

Services & filing details

Most recent filing: Mar 30, 2026. View historical filings

Reported services

Financial planning · Individual portfolio management · Business portfolio management · Pension consulting · Selection of other advisers · Educational seminars

Compensation

Percentage of assets · Hourly · Fixed · Performance-based

Principal office

311 SOUTH WACKER DRIVE, SUITE 5900
CHICAGO, IL, 60606-6677, United States

CRD 728

Filing source

Form ADV 2085072 · Mar 30, 2026 · 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.