# Eliot Rose Wealth Management, LLC

> Eliot Rose Wealth Management, LLC is an SEC-registered investment advisory firm in Providence, RI, registered since 2021, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 11, 2026.

- CRD: 120465
- Filed as: ELIOT ROSE WEALTH MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Providence, RI
- Filing period: October 2026
- Form ADV filing dated: February 11, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/120465
- AdvisorCensus page: https://advisorcensus.com/firm/eliot-rose-wealth-management-llc-providence-ri-120465

## Quick answers

**How is Eliot Rose Wealth Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Eliot Rose Wealth Management, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**How much does Eliot Rose Wealth Management, LLC charge?**
Its Form ADV Part 2A brochure dated February 11, 2026 states: Flat fee: $5,400 (financial planning services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Eliot Rose Wealth Management, LLC located?**
Eliot Rose Wealth Management, LLC's principal office is in Providence, RI, according to its Form ADV; the December 2025 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Eliot Rose Wealth Management, LLC registered with the SEC or a state?**
Eliot Rose Wealth Management, LLC is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 120465.

**How much does Eliot Rose Wealth Management, LLC manage?**
Eliot Rose Wealth Management, LLC reports $186,327,765 in regulatory assets under management in its Form ADV filing dated February 11, 2026 (100% discretionary).

**How have Eliot Rose Wealth Management, LLC's assets and staff changed since 2021?**
In the Form ADV data for Eliot Rose Wealth Management, LLC: Regulatory assets under management: $101,302,767 in the October 2021 data and $186,327,765 in the October 2026 data, up 84%. Total employees: 4 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Eliot Rose Wealth Management, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (88); high net worth individuals (53).

**Which custodians does Eliot Rose Wealth Management, LLC use?**
Eliot Rose Wealth Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Eliot Rose Wealth Management, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/120465

**What changed in Eliot Rose Wealth Management, LLC's recent Form ADV filings?**
In the March 2026 filing data: Employees performing advisory functions went from 2 to 1. Regulatory assets under management went from $152,815,670 to $186,327,765 (+22%). No longer lists an office in Providence, RI.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated February 11, 2026)

- Flat fee: $5,400 (financial planning services)

> We charge a flat fee of $5,400 for our financial planning services, payable in two installments.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $186,327,765
- Discretionary: $186,327,765
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 88 | $40,688,785 |
| High net worth individuals | 53 | $145,638,980 |

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

### Firm details
- Registered since: 2021 (5 years)
- Employees: 4 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT, FL, MA, NH, NY, RI, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the December 2025 filing
- Providence, RI

### Websites listed on Form ADV (Item 1.I)
- eliotrose.com
- Facebook @EliotRoseWealth
- Instagram @eliotrosewealthmanagement
- LinkedIn @eliotrosewealth

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $101,302,767 | 4 | June 3, 2021 |
| October 2022 | $116,885,289 | 4 | March 22, 2022 |
| October 2023 | $113,724,459 | 4 | April 7, 2023 |
| October 2024 | $125,533,216 | 4 | April 1, 2024 |
| October 2025 | $152,815,670 | 4 | March 26, 2025 |
| October 2026 | $186,327,765 | 4 | February 11, 2026 |

Regulatory assets under management: $101,302,767 in the October 2021 data and $186,327,765 in the October 2026 data, up 84%.
Total employees: 4 in October 2021 and 4 in October 2026.

## Changes in the filing (last 12 months)

### March 2026
- Employees performing advisory functions went from 2 to 1.
- Regulatory assets under management went from $152,815,670 to $186,327,765 (+22%).
- No longer lists an office in Providence, RI.

### December 2025
- Added an office in Providence, RI.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Eliot Rose Wealth Management, LLC (CRD 120465): Form ADV filing data as of October 2026.