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ROTHSCHILD INVESTMENT

CHICAGO, IL · CRD 728 · IAPD ↗ · rothschildwealth.com · 312-983-8900

$2.79BRegulatory AUM
19Advisory reps
39Employees
0Clients
51-100Planning clients
1Private funds
42States
8Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
April 2026 — ROTHSCHILD INVESTMENT notice-filed in AL, DE, IA, ID, KS, MS, NE, RI, SD, WY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
December 2025 — ROTHSCHILD INVESTMENT notice-filed in TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
December 2025 — ROTHSCHILD INVESTMENT added office(s): 0 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
December 2025 — ROTHSCHILD INVESTMENT now reports custody of client assets ($25.6M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
72
May 2025 — ROTHSCHILD INVESTMENT reports 51-100 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
80
May 2025 — ROTHSCHILD INVESTMENT now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
30
April 2025 — ROTHSCHILD INVESTMENT changed its website from rothschildinv.com to rothschildwealth.com.
Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
Marketing & brand
60
April 2025 — ROTHSCHILD INVESTMENT CORPORATION is now doing business as ROTHSCHILD INVESTMENT.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM

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