← Directory
ROSECAP INVESTMENT ADVISORS, LLC
CRD 152054File 801-118154
APPROVED
Retail clients
Custody
Filing as of Mar 11, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$527.5M
Above cohort median (national)
Discretionary AUM
$525.6M
Non-discretionary $2.0M
Clients
747
746 accounts
Employees
8
Above cohort median in CO
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- DRO
- Registration date
- Mar 5, 2020
- Principal office
- 200 GRAND AVE, SUITE 205, GRAND JUNCTION, CO, 81501
- Phone
- (970) 773-5300
- Website
- HTTP://WWW.ROSECAP.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $527.5M
- Discretionary AUM
- $525.6M
- Non-discretionary AUM
- $2.0M
- Discretionary accounts
- 735
- Non-discretionary accounts
- 11
- Total accounts
- 746
- AUM per client
- $706K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 20 | $20.5M |
| Charitable organizations | 5 | $9.4M |
| High net worth individuals | 288 | $426.4M |
| State or municipal government entities | Fewer than 5 | $64 |
| Individuals (other than high net worth individuals) | 433 | $71.3M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Other
- Financial planning services
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 5 | 8 | increased by3 |
| Apr 1, 2026 | Clients | 661 | 747 | increased by86 |
| Apr 1, 2026 | AUM | $444,635,714 | $527,528,418 | increased by$82,892,704 |
| Apr 1, 2026 | Accounts | 661 | 746 | increased by85 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 636 | 661 | increased by25 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $345,920,100 | $444,635,714 | increased by$98,715,614 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 636 | 661 | increased by25 |
| Apr 1, 2022 | Employees | 2 | 5 | increased by3 |
| Apr 1, 2022 | Clients | 641 | 636 | decreased by5 |
| Apr 1, 2022 | AUM | $216,208,435 | $345,920,100 | increased by$129,711,665 |
| Apr 1, 2022 | Accounts | 678 | 636 | decreased by42 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “ROSECAP INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ROSECAP INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.