# The Rose Investment Management

> The Rose Investment Management is a state-registered investment advisory firm in Santa Rosa, CA, registered since 1993, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated July 15, 2024.

- CRD: 121999
- Filed as: THE ROSE INVESTMENT MANAGEMENT
- Legal name: The Rose, Inc.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Santa Rosa, CA
- Filing period: October 2026
- Form ADV filing dated: July 15, 2024
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/121999
- AdvisorCensus page: https://advisorcensus.com/firm/the-rose-investment-management-santa-rosa-ca-121999

## Quick answers

**How is The Rose Investment Management compensated?**
On its Form ADV (Item 5.E, October 2026), The Rose Investment Management reports these compensation arrangements: a percentage of assets under its management; hourly charges.

**Where is The Rose Investment Management located?**
The Rose Investment Management's principal office is in Santa Rosa, CA, according to its Form ADV.

**Is The Rose Investment Management registered with the SEC or a state?**
The Rose Investment Management is a state-registered investment advisory firm, registered since 1993. Status as filed: APPROVED. CRD 121999.

**How much does The Rose Investment Management manage?**
The Rose Investment Management reports $28,289,577 in regulatory assets under management in its Form ADV filing dated July 15, 2024 (1% discretionary).

**What types of clients does The Rose Investment Management serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (40); high net worth individuals (8).

**Does The Rose Investment Management 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/121999

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges

### Regulatory assets under management (Item 5.F)
- Total: $28,289,577
- Discretionary: $192,426
- Non-discretionary: $28,097,151

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 40 | $15,338,499 |
| High net worth individuals | 8 | $12,951,078 |
| Charitable organizations | Fewer than 5 | Not reported |

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

### Firm details
- Registered since: 1993 (33 years)
- Employees: 2 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: IN
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. The Rose Investment Management (CRD 121999): Form ADV filing data as of October 2026.