ROSECAP INVESTMENT ADVISORS, LLC

CRD 152054File 801-118154

APPROVED

Retail clients

Custody

Filing as of Mar 11, 2026

Feed vintage Aug 17, 2026

Regulatory AUM

$527.5M

Above cohort median (national)

Discretionary AUM

$525.6M

Non-discretionary $2.0M

Clients

747

746 accounts

Employees

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: https://www.facebook.com/RoseCapFinancial

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, 5G

Compensation

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 11

This firm answered no to every Item 11 disclosure question in this filing.

Filed changes

Date	Field	From	To
Aug 12, 2026	Registration	—	APPROVED

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.