# Rosecliff Capital Advisory LLC

> Rosecliff Capital Advisory LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2021, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 305951
- Filed as: ROSECLIFF CAPITAL ADVISORY LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/305951
- AdvisorCensus page: https://advisorcensus.com/firm/rosecliff-capital-advisory-llc-new-york-ny-305951

## Quick answers

**How is Rosecliff Capital Advisory LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Rosecliff Capital Advisory 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 Rosecliff Capital Advisory LLC located?**
Rosecliff Capital Advisory LLC's principal office is in New York, NY, according to its Form ADV.

**Is Rosecliff Capital Advisory LLC registered with the SEC or a state?**
Rosecliff Capital Advisory LLC is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 305951.

**How much does Rosecliff Capital Advisory LLC manage?**
Rosecliff Capital Advisory LLC reports $27,286,315 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Rosecliff Capital Advisory LLC's assets and staff changed since 2021?**
In the Form ADV data for Rosecliff Capital Advisory LLC: Regulatory assets under management: $31,786,477 in the October 2021 data and $27,286,315 in the October 2026 data, down 14%. 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 Rosecliff Capital Advisory LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (158); individuals (other than high net worth individuals) (27).

**Which custodians does Rosecliff Capital Advisory LLC use?**
Rosecliff Capital Advisory 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 Rosecliff Capital Advisory 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/305951

**What changed in Rosecliff Capital Advisory LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 3 to 2.

## 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: $27,286,315
- Discretionary: $27,286,315
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 27 | $650,020 |
| High net worth individuals | 158 | $26,636,295 |

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

### Firm details
- Registered since: 2021 (5 years)
- Employees: 4 total, 2 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: CA, FL, IL, MI, NY, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

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

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $31,786,477 | 4 | April 29, 2021 |
| October 2022 | $37,192,524 | 4 | April 29, 2022 |
| October 2023 | $25,753,129 | 4 | April 18, 2023 |
| October 2024 | $26,387,608 | 4 | March 29, 2024 |
| October 2025 | $25,838,194 | 5 | March 31, 2025 |
| October 2026 | $27,286,315 | 4 | March 30, 2026 |

Regulatory assets under management: $31,786,477 in the October 2021 data and $27,286,315 in the October 2026 data, down 14%.
Total employees: 4 in October 2021 and 4 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 3 to 2.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Rosecliff Capital Advisory LLC (CRD 305951): Form ADV filing data as of October 2026.