# Rothschild Investment

> Rothschild Investment is an SEC-registered investment advisory firm in Chicago, IL, registered since 1971, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 728
- Filed as: ROTHSCHILD INVESTMENT
- Legal name: Rothschild Investment LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Chicago, IL
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/728
- AdvisorCensus page: https://advisorcensus.com/firm/rothschild-investment-chicago-il-728

## Quick answers

**How is Rothschild Investment compensated?**
On its Form ADV (Item 5.E, October 2026), Rothschild Investment reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); performance-based fees.

**How much does Rothschild Investment charge?**
Its Form ADV Part 2A brochure dated March 30, 2026 states: Hourly rate: $400 to $500 an hour (Financial Planning Services); Hourly rate: $300 to $1,200 an hour (Retirement Plan Consulting Services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Rothschild Investment located?**
Rothschild Investment's principal office is in Chicago, IL, according to its Form ADV.

**Is Rothschild Investment registered with the SEC or a state?**
Rothschild Investment is an SEC-registered investment advisory firm, registered since 1971. Status as filed: Approved. CRD 728.

**How much does Rothschild Investment manage?**
Rothschild Investment reports $2,792,196,229 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Rothschild Investment's assets and staff changed since 2021?**
In the Form ADV data for Rothschild Investment: Regulatory assets under management: $1,655,811,017 in the October 2021 data and $2,792,196,229 in the October 2026 data, up 69%. Total employees: 40 in October 2021 and 39 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Rothschild Investment serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (666); high net worth individuals (525); pension and profit sharing plans (but not the plan participants or government pension plans) (22).

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

**Does Rothschild Investment report any disciplinary disclosures?**
Reports 8 disclosure items on Form ADV Item 11: yes answers to 8 questions about regulatory matters (11.C(2), 11.C(4), 11.C(5), 11.D(2), 11.D(4), 11.D(5), 11.E(2), 11.E(4)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/728

**Does Rothschild Investment state an account minimum?**
Its Form ADV Part 2A brochure dated March 30, 2026 says: "Rothschild does not require a minimum dollar value of assets or other conditions for opening or maintaining an account for these types of clients."

**What changed in Rothschild Investment's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 18 to 19. Regulatory assets under management went from $2,310,915,581 to $2,792,196,229 (+21%). Registered or notice-filed in AL, DE, IA, ID, KS, MS, NE, RI, SD, WY.

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 30, 2026)

- Account minimum: None

> Rothschild does not require a minimum dollar value of assets or other conditions for opening or maintaining an account for these types of clients.

- Hourly rate: $400 to $500 an hour (Financial Planning Services)

> Fees for these services are typically charged on an hourly basis and generally range from $400 to $500 per hour, depending on the complexity of the engagement and the level of expertise required.

- Hourly rate: $300 to $1,200 an hour (Retirement Plan Consulting Services)

> An hourly fee (generally ranging from $300 to $1,200 per hour);

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.
- Pershing LLC

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: $2,792,196,229
- Discretionary: $2,790,556,289
- Non-discretionary: $1,639,940

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 666 | $281,808,736 |
| High net worth individuals | 525 | $2,356,654,279 |
| 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) | 1 | $1,500,000 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 22 | $23,004,438 |
| Charitable organizations | 14 | $33,156,189 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| 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 | 18 | $96,072,587 |
| 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
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops

### Firm details
- Registered since: 1971 (55 years)
- Employees: 39 total, 19 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AL, AR, AZ, CA, CO, CT, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, MA, MD, MI, MN, MO, MS, MT, NC, NE, NJ, NM, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, WA, WI, WY
- Disclosures (Item 11): Reports 8 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.D(5): Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?
- 11.E(4): Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/728

### Websites listed on Form ADV (Item 1.I)
- rothschildwealth.com
- Facebook @rothschildwp
- LinkedIn @rothschild-wealth-partners

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $1,655,811,017 | 40 | March 30, 2021 |
| October 2022 | $1,868,779,878 | 38 | April 25, 2022 |
| October 2023 | $1,633,189,446 | 40 | May 2, 2023 |
| October 2024 | $2,001,729,602 | 40 | June 20, 2024 |
| October 2025 | $2,310,915,581 | 41 | April 28, 2025 |
| October 2026 | $2,792,196,229 | 39 | March 30, 2026 |

Regulatory assets under management: $1,655,811,017 in the October 2021 data and $2,792,196,229 in the October 2026 data, up 69%.
Total employees: 40 in October 2021 and 39 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 18 to 19.
- Regulatory assets under management went from $2,310,915,581 to $2,792,196,229 (+21%).
- Registered or notice-filed in AL, DE, IA, ID, KS, MS, NE, RI, SD, WY.

### December 2025
- Registered or notice-filed in TN.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Rothschild Investment (CRD 728): Form ADV filing data as of October 2026.