SHUFRO, ROSE & CO., LLC

Latest filing: Aug 14, 2024 (77 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
BARBARA SILVERMAN NEW YORK NY S63|1995-11-15|S65|2004-04-13 CHARTERED FINANCIAL ANALYST
STEPHEN LEIT NEW YORK NY S63|1985-02-07|S65|1992-05-05 CHARTERED FINANCIAL ANALYST
TONIA KAMINSKY NEW YORK NY S63|2000-08-09|S65|2022-09-27
JOHN CONTANT NEW YORK NY S63|2006-07-18|S65|2000-06-30
GERSON OSSERS NEW YORK NY S66|2013-12-16 CERTIFIED FINANCIAL PLANNER
HARVEY WACHT NEW YORK NY S63|1988-08-18|S65|2001-07-10
GREGORY SHUFRO NEW YORK NY S63|2004-07-23|S65|2005-05-26
ANTHONY SANTOLOCI NEW YORK NY S66|2014-08-08
AIMEE ADLER NEW YORK NY S65|2020-02-20 CERTIFIED FINANCIAL PLANNER
STEVEN GLASS NEW YORK NY S63|1989-06-13|S65|1992-07-22

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2024-10-01 $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