Overview
Assets Under Management: $132 million
High-Net-Worth Clients: 23
Average Client Assets: $4.4 million
Frequently Asked Questions
ROTH ASSET MANAGEMENT, INC. is a fee-based investment advisor. Detailed fee schedules are available in their SEC Form ADV filing.
Yes. As an SEC-registered investment advisor (CRD #128368), ROTH ASSET MANAGEMENT, INC. is subject to fiduciary duty under federal law.
ROTH ASSET MANAGEMENT, INC. serves 23 high-net-worth clients according to their SEC filing dated August 21, 2024. View client details ↓
According to their SEC Form ADV, ROTH ASSET MANAGEMENT, INC. offers portfolio management for individuals, portfolio management for institutional clients, and pension consulting services. View all service details ↓
ROTH ASSET MANAGEMENT, INC. manages $132 million in client assets according to their SEC filing dated August 21, 2024.
According to their SEC Form ADV, ROTH ASSET MANAGEMENT, INC. serves high-net-worth individuals, institutional clients, and pension and profit-sharing plans. View client details ↓
Services Offered
Services: Portfolio Management for Individuals, Portfolio Management for Institutional Clients, Pension Consulting
Clients
Number of High-Net-Worth Clients: 23
Percentage of Firm Assets Belonging to High-Net-Worth Clients: 76.55%
Average Client Assets: $4.4 million
Total Client Accounts: 58
Discretionary Accounts: 58
Regulatory Filings
CRD Number: 128368
Filing ID: 1896750
Last Filing Date: 2024-08-21 18:29:00