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SHUFRO, ROSE & CO., LLC
CRD 3403File 801-977
APPROVED
Retail clients
Custody
Filing as of Apr 21, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$2.46B
Top 25% of cohort (national)
Discretionary AUM
$2.41B
Non-discretionary $58.0M
Clients
1,331
3,009 accounts
Employees
27
Above cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Apr 7, 1955
- Principal office
- 600 LEXINGTON AVENUE, 15TH FLOOR, NEW YORK, NY, 10022
- Phone
- 212-754-5100
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $2.46B
- Discretionary AUM
- $2.41B
- Non-discretionary AUM
- $58.0M
- Discretionary accounts
- 2,933
- Non-discretionary accounts
- 76
- Total accounts
- 3,009
- AUM per client
- $1.9M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 49 | $106.9M |
| Charitable organizations | 18 | $13.8M |
| High net worth individuals | 547 | $2.05B |
| Pension and profit sharing plans | 57 | $36.3M |
| Individuals (other than high net worth individuals) | 660 | $253.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- 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 |
|---|---|---|---|
| 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.