# Roscoe Financial

> Roscoe Financial is a state-registered investment advisory firm, registered since 1999, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 25, 2026.

- CRD: 120248
- Filed as: ROSCOE FINANCIAL
- Legal name: Roscoe Financial Advisory Company
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Filing period: October 2026
- Form ADV filing dated: March 25, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/120248
- AdvisorCensus page: https://advisorcensus.com/firm/roscoe-financial-120248

## Quick answers

**How is Roscoe Financial compensated?**
On its Form ADV (Item 5.E, October 2026), Roscoe Financial reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is Roscoe Financial registered with the SEC or a state?**
Roscoe Financial is a state-registered investment advisory firm, registered since 1999. Status as filed: APPROVED. CRD 120248.

**How much does Roscoe Financial manage?**
Roscoe Financial reports $11,310,642 in regulatory assets under management in its Form ADV filing dated March 25, 2026 (0% discretionary).

**What types of clients does Roscoe Financial serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (16); high net worth individuals (4).

**Does Roscoe Financial 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/120248

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $11,310,642
- Discretionary: $0
- Non-discretionary: $11,310,642

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 16 | $5,614,212 |
| High net worth individuals | 4 | $5,696,430 |

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

### Firm details
- Registered since: 1999 (26 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NM, OH
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- roscoefinancial.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Roscoe Financial (CRD 120248): Form ADV filing data as of October 2026.