# Rossi Dubuque Breckenridge, LLC

> Rossi Dubuque Breckenridge, LLC is a state-registered investment advisory firm in Plymouth, MN, registered since 2010, with no regulatory assets under management reported in its Form ADV filing dated April 10, 2026.

- CRD: 155284
- Filed as: ROSSI DUBUQUE BRECKENRIDGE, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Plymouth, MN
- Filing period: October 2026
- Form ADV filing dated: April 10, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/155284
- AdvisorCensus page: https://advisorcensus.com/firm/rossi-dubuque-breckenridge-llc-plymouth-mn-155284

## Quick answers

**How is Rossi Dubuque Breckenridge, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Rossi Dubuque Breckenridge, LLC reports these compensation arrangements: fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Rossi Dubuque Breckenridge, LLC located?**
Rossi Dubuque Breckenridge, LLC's principal office is in Plymouth, MN, according to its Form ADV.

**Is Rossi Dubuque Breckenridge, LLC registered with the SEC or a state?**
Rossi Dubuque Breckenridge, LLC is a state-registered investment advisory firm, registered since 2010. Status as filed: APPROVED. CRD 155284.

**What types of clients does Rossi Dubuque Breckenridge, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (116); individuals (other than high net worth individuals) (38); pension and profit sharing plans (but not the plan participants or government pension plans) (1).

**Does Rossi Dubuque Breckenridge, LLC 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/155284

## From the Form ADV filing

### Compensation (Item 5.E)
- Fixed fees (other than subscription fees)

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 38 | $0 |
| High net worth individuals | 116 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 1 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters

### Firm details
- Registered since: 2010 (15 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: MN
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

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

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Rossi Dubuque Breckenridge, LLC (CRD 155284): Form ADV filing data as of October 2026.