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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 Oct 1, 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 | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 41 | 39 | decreased by2 |
| Apr 1, 2026 | Clients | 1,047 | 1,246 | increased by199 |
| Apr 1, 2026 | AUM | $2,310,915,581 | $2,792,196,229 | increased by$481,280,648 |
| Apr 1, 2026 | Accounts | 2,425 | 2,831 | increased by406 |
| Dec 1, 2025 vs May 1, 2025 | Custody | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Employees | 38 | 41 | increased by3 |
| May 1, 2025 vs Oct 1, 2022 | Custody | Yes | No | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,812 | 1,047 | decreased by765 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,868,779,878 | $2,310,915,581 | increased by$442,135,703 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,812 | 2,425 | increased by613 |
| Apr 1, 2022 | Employees | 40 | 38 | decreased by2 |
| Apr 1, 2022 | Clients | 1,695 | 1,812 | increased by117 |
| Apr 1, 2022 | AUM | $1,655,811,017 | $1,868,779,878 | increased by$212,968,861 |
| Apr 1, 2022 | Accounts | 1,695 | 1,812 | increased by117 |
| 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 “ROTHSCHILD INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ROTHSCHILD 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.