Broker-dealer firm · Chicago, IL
Rothschild Investment
Rothschild Investment LLC · SEC-registered investment adviser · CRD 728 · SEC 801-7395
At a glance
Rothschild Investment is an SEC-registered investment adviser based in Chicago, Illinois, with $2.8 billion in regulatory assets under management as of its Form ADV filed March 30, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 1,191 individual clients. By Form ADV it is a broker-dealer firm, ranked 113th of 391 broker-dealer firms and 2,961st of 17,210 SEC-registered advisers by assets.
Main office 312-983-8900rothschildwealth.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.8B
- Rank among broker-dealer firms
- #113 of 391
- Rank among all SEC RIAs
- #2,961 of 17,210
- Rank in Illinois
- #154 of 684
- Individual clients
- 1,191
- High-net-worth clients
- 525
- Accounts
- 2,831
- Discretionary
- 100% of AUM
- Employees
- 39
- Advisory staff
- 19
- Offices
- 3
Owners and executives on its Form ADV
- Joel Edward SolomonMember, Officer
- Phillip Eugene JohnsonMember, President
- James Allyn FrankeMember, Officer
- Curtis Robert EllergodtFinop
- Brian Douglas LenartCco/amlco
Custody and brokerage
Broker-dealer
Hybrid RIA
Rothschild Investment is a hybrid RIA: 39 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Rothschild Investment as the broker-dealer its advisers are registered with.
In those circumstances, personnel of Rothschild who provide services to the relevant plan(s) and are registered representatives of Rothschild will receive a portion of the brokerage compensation paid to Rothschild by such plan(s).
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 525 | $2.4B | 84% |
| Individuals | 666 | $282M | 10% |
| Corporations or other businesses | 18 | $96M | 3% |
| Charitable organizations | 14 | $33M | 1% |
| Pension and profit sharing plans | 22 | $23M | <1% |
| Pooled investment vehicles | 1 | $2M | <1% |
Private funds
Rothschild Investment reports 1 private funds with $2M in gross assets: venture capital funds (Form ADV Item 7.B).
Disciplinary disclosures
Rothschild Investment answers yes to 8 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗rothschildwealth.com ↗
AtlasMembers
The full record on Rothschild Investment
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
- Locked
- Rank against 90 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Rothschild Investment manage?
Rothschild Investment reports $2.8 billion in regulatory assets under management across 2,831 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
What kind of firm is Rothschild Investment?
Rothschild Investment is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Rothschild Investment’s clients?
By assets, its largest client types are high-net-worth individuals ($2.4 billion, 525 clients); individuals ($282 million, 666 clients); corporations or other businesses ($96 million, 18 clients).
Does Rothschild Investment manage private funds?
Yes. It reports 1 private funds with $2 million in gross assets, including venture capital funds.
Does Rothschild Investment have any disciplinary history?
Rothschild Investment answers yes to 8 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Rothschild Investment’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 (2026-03-30), 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 →