# Curtis C. Rose & Associates

> Curtis C. Rose & Associates is a state-registered investment advisory firm in Santa Clara, UT, registered since 1995, reporting under $25 million in regulatory assets under management in its Form ADV filing dated July 14, 2025.

- CRD: 114816
- Filed as: CURTIS C. ROSE & ASSOCIATES
- Legal name: Curtis Cole Rose
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Santa Clara, UT
- Filing period: October 2026
- Form ADV filing dated: July 14, 2025
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/114816
- AdvisorCensus page: https://advisorcensus.com/firm/curtis-c-rose-and-associates-santa-clara-ut-114816

## Quick answers

**How is Curtis C. Rose & Associates compensated?**
On its Form ADV (Item 5.E, October 2026), Curtis C. Rose & Associates reports these compensation arrangements: a percentage of assets under its management; hourly charges. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Curtis C. Rose & Associates located?**
Curtis C. Rose & Associates' principal office is in Santa Clara, UT, according to its Form ADV.

**Is Curtis C. Rose & Associates registered with the SEC or a state?**
Curtis C. Rose & Associates is a state-registered investment advisory firm, registered since 1995. Status as filed: APPROVED. CRD 114816.

**How much does Curtis C. Rose & Associates manage?**
Curtis C. Rose & Associates reports $3,778,919 in regulatory assets under management in its Form ADV filing dated July 14, 2025 (100% discretionary).

**What types of clients does Curtis C. Rose & Associates serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (19).

**Does Curtis C. Rose & Associates report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/114816

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges

### Regulatory assets under management (Item 5.F)
- Total: $3,778,919
- Discretionary: $3,778,919
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 19 | $3,778,919 |
| High net worth individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 1995 (31 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CO, NM, NV
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Curtis C. Rose & Associates (CRD 114816): Form ADV filing data as of October 2026.