Private fund adviser · New York, NY
Rose Smart Growth Investment Advisors, LLC
SEC-registered investment adviser · CRD 161271 · SEC 801-73867
At a glance
Rose Smart Growth Investment Advisors, LLC is an SEC-registered investment adviser based in New York, New York, with $2.0 billion in regulatory assets under management as of its Form ADV filed March 26, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 1,661st of 4,686 private fund advisers and 3,633rd of 17,210 SEC-registered advisers by assets.
Main office 917-542-3600rosecompanies.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.0B
- Rank among private fund advisers
- #1,661 of 4,686
- Rank among all SEC RIAs
- #3,633 of 17,210
- Rank in New York
- #859 of 2,591
- Clients
- 7
- Accounts
- 7
- Discretionary
- 100% of AUM
- Employees
- 50
- Advisory staff
- 50
- Offices
- 1
Owners and executives on its Form ADV
- Jonathan F. RoseChief Executive Officer
- Carolyn AuChief Compliance Officer; Chief Operating Officer
Custody and brokerage
Custodian
Rose Smart Growth Investment Advisors, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 7 | $2.0B | 100% |
Private funds
Rose Smart Growth Investment Advisors, LLC reports 1 private funds with $4M in gross assets: real estate funds (Form ADV Item 7.B).
Disciplinary disclosures
Rose Smart Growth Investment Advisors, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for pooled investment vehicles
How it’s paid
- A percentage of assets under management
- Performance-based fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗rosecompanies.com ↗
AtlasMembers
The full record on Rose Smart Growth Investment Advisors, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
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- Rank against 1,857 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Rose Smart Growth Investment Advisors, LLC manage?
Rose Smart Growth Investment Advisors, LLC reports $2.0 billion in regulatory assets under management across 7 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 26, 2026.
What kind of firm is Rose Smart Growth Investment Advisors, LLC?
Rose Smart Growth Investment Advisors, LLC is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are Rose Smart Growth Investment Advisors, LLC’s clients?
By assets, its largest client types are pooled investment vehicles ($2.0 billion, 7 clients).
Does Rose Smart Growth Investment Advisors, LLC manage private funds?
Yes. It reports 1 private funds with $4 million in gross assets, including real estate funds.
Does Rose Smart Growth Investment Advisors, LLC have any disciplinary history?
Rose Smart Growth Investment Advisors, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Rose Smart Growth Investment Advisors, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-26), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →