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ROTHSCHILD CAPITAL PARTNERS

NEW YORK, NY · CRD 161688 · IAPD ↗ · 212-931-5303

$469.7MRegulatory AUM
5Advisory reps
9Employees
0Clients
11-25Planning clients
2Private funds
7States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

61
April 2026 — ROTHSCHILD CAPITAL PARTNERS reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
45
July 2025 — ROTHSCHILD CAPITAL PARTNERS notice-filed in VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
64
April 2025 — ROTHSCHILD CAPITAL PARTNERS reported RAUM up 33% ($351.3M -> $467.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
49
June 2024 — ROTHSCHILD CAPITAL PARTNERS notice-filed in DC, FL, NJ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
61
April 2024 — ROTHSCHILD CAPITAL PARTNERS reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
April 2024 — ROTHSCHILD CAPITAL PARTNERS grew from 3 to 5 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.