Investment adviser · CRD 3403
SHUFRO, ROSE & CO., LLC
Investment adviser filing (IA)
NEW YORK, NY, United States · Form ADV filed Apr 21, 2026
- Regulatory AUM
- $2.46B Form ADV · Item 5.F
- Client accounts
- 3,009 Accounts, not individual clients
- Employees
- 27 Reported in this filing
- Advisory professionals
- 9 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 | 547 | $2,052,818,493 | 83.3% |
| Individuals | 660 | $253,816,451 | 10.3% |
| Corporations & businesses | 49 | $106,908,008 | 4.3% |
| Retirement plans | 57 | $36,334,501 | 1.5% |
| Charities | 18 | $13,775,000 | 0.6% |
Filing source
Form ADV 2096442 · Apr 21, 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
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: Apr 21, 2026. View historical filings
Reported services
Financial planning · Individual portfolio management · Selection of other advisers
Compensation
Percentage of assets · Fixed
Principal office
600 LEXINGTON AVENUE, 15TH FLOORNEW YORK, NY, 10022, United States
CRD 3403
Filing source
Form ADV 2096442 · Apr 21, 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.