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ROSECLIFF CAPITAL ADVISORY LLC
CRD 305951File 801-119344
APPROVED
Retail clients
Filing as of Mar 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$27.3M
Bottom 25% of cohort (national)
Discretionary AUM
$27.3M
Clients
185
185 accounts
Employees
4
Bottom 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jan 11, 2021
- Principal office
- 767 5TH AVENUE, 34TH FLOOR, NEW YORK, NY, 10153
- Phone
- (212) 404-7447
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $27.3M
- Discretionary AUM
- $27.3M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 185
- Non-discretionary accounts
- 0
- Total accounts
- 185
- AUM per client
- $147K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 158 | $26.6M |
| Individuals (other than high net worth individuals) | 27 | $650K |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- 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 | 4 | decreased by1 |
| Apr 1, 2026 | Clients | 140 | 185 | increased by45 |
| Apr 1, 2026 | AUM | $25,838,194 | $27,286,315 | increased by$1,448,121 |
| Apr 1, 2026 | Accounts | 140 | 185 | increased by45 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 4 | 5 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 121 | 140 | increased by19 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $37,192,524 | $25,838,194 | decreased by$11,354,330 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 121 | 140 | increased by19 |
| Apr 1, 2022 | Clients | 103 | 121 | increased by18 |
| Apr 1, 2022 | AUM | $31,786,477 | $37,192,524 | increased by$5,406,047 |
| Apr 1, 2022 | Accounts | 103 | 121 | increased by18 |
| May 1, 2021 | Clients | 0 | 103 | increased by103 |
| May 1, 2021 | AUM | $0 | $31,786,477 | increased by$31,786,477 |
| May 1, 2021 | Accounts | 0 | 103 | increased by103 |
| 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 “ROSECLIFF CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ROSECLIFF CAPITAL” 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.