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ROTHSCHILD INVESTMENT
Legal name: ROTHSCHILD INVESTMENT LLC
CRD 728File 801-7395
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Mar 30, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$2.79B
Top 25% of cohort (national)
Discretionary AUM
$2.79B
Non-discretionary $1.6M
Clients
1,246
2,831 accounts
Employees
39
Top 25% of cohort in IL
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- May 30, 1971
- Principal office
- 311 SOUTH WACKER DRIVE, SUITE 5900, CHICAGO, IL, 60606-6677
- Phone
- 312-983-8900
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $2.79B
- Discretionary AUM
- $2.79B
- Non-discretionary AUM
- $1.6M
- Discretionary accounts
- 2,828
- Non-discretionary accounts
- 3
- Total accounts
- 2,831
- AUM per client
- $2.2M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 18 | $96.1M |
| Charitable organizations | 14 | $33.2M |
| High net worth individuals | 525 | $2.36B |
| Pooled investment vehicles | 1 | $1.5M |
| Pension and profit sharing plans | 22 | $23.0M |
| Individuals (other than high net worth individuals) | 666 | $281.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Other
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- 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
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11
- Q11C2
- Q11C4
- Q11C5
- Q11D2
- Q11D4
- Q11D5
- Q11E2
- Q11E4
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.