{
  "crd_number": 3403,
  "slug": "shufro-rose-and-co-llc-new-york-ny-3403",
  "primary_business_name": "SHUFRO, ROSE & CO., LLC",
  "legal_name": "SHUFRO, ROSE & CO., LLC",
  "dbas": [],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1955-04-07",
  "years_registered": 71,
  "period": "2026-10-01",
  "filing_date": "2026-04-21",
  "carried_forward": false,
  "raum_total": 2463652453.0,
  "raum_discretionary": 2405608195.0,
  "raum_non_discretionary": 58044258.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 27,
  "advisory_employees": 9,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 13775000.0,
      "count": 18
    },
    "individuals": {
      "raum": 253816451.0,
      "count": 660
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 36334501.0,
      "count": 57
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 2052818493.0,
      "count": 547
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 106908008.0,
      "count": 49
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "PR",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VI",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://linkedin.com/company/shufro-rose-&-co.-llc",
    "https://shufrorose.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/3403",
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/shufro-rose-and-co-llc-new-york-ny-3403",
  "display_name": "Shufro, Rose & Co., LLC",
  "summary": "Shufro, Rose & Co., LLC is an SEC-registered investment advisory firm in New York, NY, registered since 1955, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated April 21, 2026.",
  "citation": "AdvisorCensus. Shufro, Rose & Co., LLC (CRD 3403): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Shufro, Rose & Co., LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Shufro, Rose & Co., LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Shufro, Rose & Co., LLC located?",
      "a": "Shufro, Rose & Co., LLC's principal office is in New York, NY, according to its Form ADV."
    },
    {
      "q": "Is Shufro, Rose & Co., LLC registered with the SEC or a state?",
      "a": "Shufro, Rose & Co., LLC is an SEC-registered investment advisory firm, registered since 1955. Status as filed: Approved. CRD 3403."
    },
    {
      "q": "How much does Shufro, Rose & Co., LLC manage?",
      "a": "Shufro, Rose & Co., LLC reports $2,463,652,453 in regulatory assets under management in its Form ADV filing dated April 21, 2026 (98% discretionary)."
    },
    {
      "q": "How have Shufro, Rose & Co., LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Shufro, Rose & Co., LLC: Regulatory assets under management: $1,821,822,812 in the October 2021 data and $2,463,652,453 in the October 2026 data, up 35%. Total employees: 25 in October 2021 and 27 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Shufro, Rose & Co., LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (660); high net worth individuals (547); pension and profit sharing plans (but not the plan participants or government pension plans) (57)."
    },
    {
      "q": "Which custodians does Shufro, Rose & Co., LLC use?",
      "a": "Shufro, Rose & Co., LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists National Financial Services LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Shufro, Rose & Co., LLC report any disciplinary disclosures?",
      "a": "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/3403"
    },
    {
      "q": "What changed in Shufro, Rose & Co., LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $2,165,482,981 to $2,463,652,453 (+14%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 1821822812.0,
      "total_employees": 25,
      "filing_date": "2021-03-19"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 2054329506.0,
      "total_employees": 24,
      "filing_date": "2022-03-21"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 1805822918.0,
      "total_employees": 26,
      "filing_date": "2023-03-27"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 2000848944.0,
      "total_employees": 26,
      "filing_date": "2024-08-14"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 2165482981.0,
      "total_employees": 27,
      "filing_date": "2025-04-04"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 2463652453.0,
      "total_employees": 27,
      "filing_date": "2026-04-21"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $2,165,482,981 to $2,463,652,453 (+14%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "National Financial Services LLC",
      "name_as_filed": "NATIONAL FINANCIAL SERVICES LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/shufro-rose-and-co-llc-new-york-ny-3403.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 660,
      "fewer_than_5": false,
      "raum": 253816451.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 547,
      "fewer_than_5": false,
      "raum": 2052818493.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 57,
      "fewer_than_5": false,
      "raum": 36334501.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 18,
      "fewer_than_5": false,
      "raum": 13775000.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 49,
      "fewer_than_5": false,
      "raum": 106908008.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/3403",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}