SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Shufro, Rose & Co., LLC
New York, NY
CRD 3403
Firm filing updated April 21, 2026 ·
- $2.5BAssets
- 1,331Clients
- 9Advisory staff
- 3,009Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals660
- High net worth individuals547
- Pension and profit sharing plans57
- Corporations or other businesses49
- Charities18
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 660 | $253.8 million |
| High net worth individuals | 547 | $2.1 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 57 | $36.3 million |
| Charitable organizations | 18 | $13.8 million |
| Corporations or other businesses not listed above | 49 | $106.9 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$2.5 billion
- Accounts3,009
- Discretionary$2.4 billion · 2,933 accounts
- Non-discretionary$58.0 million · 76 accounts
People
- Employees27
- Advisory staff9
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients101 to 250
Advisors
5 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 3403, SEC file 801-977.
- Registered with the SEC as an investment advisor (status date on record: April 7, 1955).
Is Shufro, Rose & Co., LLC a fiduciary?
Short answer: Shufro, Rose & Co., LLC is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.