# Rosecap Investment Advisors, LLC

> Rosecap Investment Advisors, LLC is an SEC-registered investment advisory firm in Grand Junction, CO, registered since 2020, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 11, 2026.

- CRD: 152054
- Filed as: ROSECAP INVESTMENT ADVISORS, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Grand Junction, CO
- Filing period: October 2026
- Form ADV filing dated: March 11, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/152054
- AdvisorCensus page: https://advisorcensus.com/firm/rosecap-investment-advisors-llc-grand-junction-co-152054

## Quick answers

**How is Rosecap Investment Advisors, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Rosecap Investment Advisors, LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Rosecap Investment Advisors, LLC located?**
Rosecap Investment Advisors, LLC's principal office is in Grand Junction, CO, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Rosecap Investment Advisors, LLC registered with the SEC or a state?**
Rosecap Investment Advisors, LLC is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 152054.

**How much does Rosecap Investment Advisors, LLC manage?**
Rosecap Investment Advisors, LLC reports $527,528,418 in regulatory assets under management in its Form ADV filing dated March 11, 2026 (100% discretionary).

**How have Rosecap Investment Advisors, LLC's assets and staff changed since 2021?**
In the Form ADV data for Rosecap Investment Advisors, LLC: Regulatory assets under management: $216,208,435 in the October 2021 data and $527,528,418 in the October 2026 data, up 144%. Total employees: 2 in October 2021 and 8 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Rosecap Investment Advisors, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (433); high net worth individuals (288); corporations or other businesses not listed above (20).

**Which custodians does Rosecap Investment Advisors, LLC use?**
Rosecap Investment Advisors, 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 Rosecap Investment Advisors, 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/152054

**What changed in Rosecap Investment Advisors, LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 5 to 6. Regulatory assets under management went from $444,635,714 to $527,528,418 (+19%). Added an office in Denver, CO.

## From the Form ADV filing

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

### 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: $527,528,418
- Discretionary: $525,573,798
- Non-discretionary: $1,954,620

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 433 | $71,256,531 |
| High net worth individuals | 288 | $426,417,534 |
| 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 | 5 | $9,356,597 |
| State or municipal government entities (including government pension plans) | 1 | $64 |
| 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 | 20 | $20,497,692 |
| Other | 0 | $0 |

### 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
- Educational seminars/workshops

### Firm details
- Registered since: 2020 (6 years)
- Employees: 8 total, 6 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CO, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Denver, CO

### Websites listed on Form ADV (Item 1.I)
- [rosecap.com](https://rosecap.com)
- Facebook @RoseCapFinancial
- LinkedIn @rosecap-investment-advisors

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $216,208,435 | 2 | September 2, 2021 |
| October 2022 | $345,920,100 | 5 | March 9, 2022 |
| October 2023 | $345,304,043 | 5 | April 18, 2023 |
| October 2024 | $360,206,761 | 5 | January 31, 2024 |
| October 2025 | $444,635,714 | 5 | March 10, 2025 |
| October 2026 | $527,528,418 | 8 | March 11, 2026 |

Regulatory assets under management: $216,208,435 in the October 2021 data and $527,528,418 in the October 2026 data, up 144%.
Total employees: 2 in October 2021 and 8 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 5 to 6.
- Regulatory assets under management went from $444,635,714 to $527,528,418 (+19%).
- Added an office in Denver, CO.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Rosecap Investment Advisors, LLC (CRD 152054): Form ADV filing data as of October 2026.