# Shufro, Rose & Co., LLC

> 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.

- CRD: 3403
- Filed as: SHUFRO, ROSE & CO., LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: April 21, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/3403
- AdvisorCensus page: https://advisorcensus.com/firm/shufro-rose-and-co-llc-new-york-ny-3403

## Quick answers

**How is Shufro, Rose & Co., LLC compensated?**
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.

**Where is Shufro, Rose & Co., LLC located?**
Shufro, Rose & Co., LLC's principal office is in New York, NY, according to its Form ADV.

**Is Shufro, Rose & Co., LLC registered with the SEC or a state?**
Shufro, Rose & Co., LLC is an SEC-registered investment advisory firm, registered since 1955. Status as filed: Approved. CRD 3403.

**How much does Shufro, Rose & Co., LLC manage?**
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).

**How have Shufro, Rose & Co., LLC's assets and staff changed since 2021?**
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.

**What types of clients does Shufro, Rose & Co., LLC serve?**
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).

**Which custodians does Shufro, Rose & Co., LLC use?**
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.

**Does Shufro, Rose & Co., 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/3403

**What changed in Shufro, Rose & Co., LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $2,165,482,981 to $2,463,652,453 (+14%).

## From the Form ADV filing

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

### Custodians (Schedule D, Section 5.K(3))
- National Financial Services 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: $2,463,652,453
- Discretionary: $2,405,608,195
- Non-discretionary: $58,044,258

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 660 | $253,816,451 |
| High net worth individuals | 547 | $2,052,818,493 |
| 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) | 57 | $36,334,501 |
| Charitable organizations | 18 | $13,775,000 |
| 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 | 49 | $106,908,008 |
| Other | 0 | $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)

### Firm details
- Registered since: 1955 (71 years)
- Employees: 27 total, 9 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: 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
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [shufrorose.com](https://shufrorose.com)
- LinkedIn @shufro-rose-&-co.-llc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $1,821,822,812 | 25 | March 19, 2021 |
| October 2022 | $2,054,329,506 | 24 | March 21, 2022 |
| October 2023 | $1,805,822,918 | 26 | March 27, 2023 |
| October 2024 | $2,000,848,944 | 26 | August 14, 2024 |
| October 2025 | $2,165,482,981 | 27 | April 4, 2025 |
| October 2026 | $2,463,652,453 | 27 | April 21, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $2,165,482,981 to $2,463,652,453 (+14%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Shufro, Rose & Co., LLC (CRD 3403): Form ADV filing data as of October 2026.