SHUFRO, ROSE & CO., LLC
Latest filing: Aug 14, 2024 (99 days ago)
AUM
$2,000,848,944
11% change vs. 1 year ago
10% change vs. 3 years ago
28% change vs. 5 years ago
22% change vs. 10 years ago
Employee Count
26
0% change vs. 1 year ago
4% change vs. 3 years ago
24% change vs. 5 years ago
53% change vs. 10 years ago
Main Office
NEW YORK, NY
600 LEXINGTON AVENUE, NEW YORK, NY, UNITED STATES, 10022
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $1.9 |
| Non-Discretionary | $0.1 |
| Total | $2.0 |
| Client | AUM |
|---|---|
| Retail | $2.0 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $2.0 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 774 | $0.3 |
| Average Individual AUM | $358,414 | |
| HNW | 495 | $1.7 |
| Average HNW AUM | $3,481,689 | |
| Retail Total | 1,269 | $2.0 |
| Average Retail AUM | $1,576,713 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $2.0 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $2.0 |
| Retail SMA AUM | $2.0 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 56% | $1.1 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 17% | $0.3 |
| Municipal | 0% | $0.0 |
| Sovereign | 1% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 20% | $0.4 |
| Other Pools | 0% | $0.0 |
| Cash | 5% | $0.1 |
| Other | 0% | $0.0 |
| Total | 99% | $2.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Control Persons
8 active
| Name | Title |
|---|---|
| GLASS, STEVEN, JEFFREY | PRINCIPAL AND SENIOR FINANCIAL ADVISOR |
| LEIT, STEPHEN, DAVID | PRINCIPAL AND SENIOR FINANCIAL ADVISOR |
| CONTANT, JOHN, MARINUS | PRINCIPAL AND SENIOR FINANCIAL ADVISOR |
| WACHT, HARVEY | PRINCIPAL AND SENIOR FINANCIAL ADVISOR |
| SHUFRO, GREGORY, DAVID | PRINCIPAL AND SENIOR FINANCIAL ADVISOR |
| KAMINSKY, TONIA | PRINCIPAL AND SENIOR FINANCIAL ADVISOR |
| ARYA, VIBHAW, KUMAR | CHIEF OPERATING OFFICER |
| HORNE, TARA, NICHOLE | CHIEF COMPLIANCE OFFICER |
ADVDB.CO • SOURCE: SEC
Representatives
10 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| HARVEY WACHT | NEW YORK | NY | S63|1988-08-18|S65|2001-07-10 | ||||||
| AIMEE ADLER | NEW YORK | NY | S65|2020-02-20 | CERTIFIED FINANCIAL PLANNER | |||||
| STEPHEN LEIT | NEW YORK | NY | S63|1985-02-07|S65|1992-05-05 | CHARTERED FINANCIAL ANALYST | |||||
| GREGORY SHUFRO | NEW YORK | NY | S63|2004-07-23|S65|2005-05-26 | ||||||
| GERSON OSSERS | NEW YORK | NY | S66|2013-12-16 | CERTIFIED FINANCIAL PLANNER | |||||
| STEVEN GLASS | NEW YORK | NY | S63|1989-06-13|S65|1992-07-22 | ||||||
| ANTHONY SANTOLOCI | NEW YORK | NY | S66|2014-08-08 | ||||||
| JOHN CONTANT | NEW YORK | NY | S63|2006-07-18|S65|2000-06-30 | ||||||
| BARBARA SILVERMAN | NEW YORK | NY | S63|1995-11-15|S65|2004-04-13 | CHARTERED FINANCIAL ANALYST | |||||
| TONIA KAMINSKY | NEW YORK | NY | S63|2000-08-09|S65|2022-09-27 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-11-01 | $2.0 | $0.0 | 0% | 26 | 0 | 0% |
| 2024-04-02 | $2.0 | $0.0 | 0% | 26 | 0 | 0% |
| 2023-04-04 | $1.8 | $0.2 | 11% | 26 | 0 | 0% |
| 2022-04-01 | $2.1 | -$0.1 | -3% | 24 | 2 | 8% |
| 2021-04-05 | $1.8 | $0.2 | 10% | 25 | 1 | 4% |
| 2020-04-01 | $1.8 | $0.2 | 13% | 22 | 4 | 18% |
| 2019-04-01 | $1.6 | $0.4 | 28% | 21 | 5 | 24% |
| 2018-04-02 | $1.7 | $0.3 | 17% | 19 | 7 | 37% |
| 2017-04-01 | $1.6 | $0.4 | 24% | 19 | 7 | 37% |
| 2016-04-01 | $1.6 | $0.4 | 26% | 21 | 5 | 24% |
| 2015-04-01 | $1.7 | $0.3 | 16% | 21 | 5 | 24% |
| 2014-04-01 | $1.6 | $0.4 | 22% | 17 | 9 | 53% |
| 2013-04-01 | $1.4 | $0.6 | 39% | 18 | 8 | 44% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NY, AK-02/09/1998, AL-10/02/1997, AR-09/30/1997, AZ-04/30/2002, CA-07/08/1997, CO-04/30/2002, CT-01/14/1998, DC-06/09/1994, DE-06/19/1992, FL-02/09/1987, GA-06/27/1994, HI-01/30/1998, IA-05/06/2002, ID-08/09/1994, IL-05/12/1983, IN-02/05/2001, KS-01/30/1998, KY-02/03/1998, LA-10/16/2001, MA-04/30/2002, MD-01/01/1993, ME-01/26/1995, MI-04/17/1998, MN-06/23/1992, MO-08/19/1991, MS-01/30/1998, MT-01/01/1999, NC-01/24/2001, ND-10/18/1994, NE-02/02/1998, NH-01/01/1993, NJ-06/03/1977, NM-07/17/1992, NV-06/28/1994, NY-01/11/1978, OH-04/30/2002, OK-12/03/1997, OR-02/05/1998, PA-10/27/1981, PR-07/08/1998, RI-01/01/1993, SC-09/25/1992, SD-05/27/1994, TN-10/02/1997, TX-10/22/1997, UT-05/09/1994, VA-07/01/1994, VT-11/14/1994, WA-02/20/1998, WI-02/02/1998, WV-02/03/1998 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV