Rosenwald Capital Management, Inc.
- Regulatory AUM
- $248M
- Discretionary
- $248M
- Clients
- 3
- Avg AUM / client
- $82.7M
- Accounts
- 3
- Employees
- 6
AUM over time
Annual snapshots from Form ADV filings · as of Jun 29, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pooled investment vehicles (non-investment companies) | 2 | $158M | 63.8% |
| Charitable organizations | 1 | $89.8M | 36.2% |
Private funds (2)
Reported in Form ADV Section 7.B.(1), filing of Jul 2024 · $98.5M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Kings Bay Investment Co. Ltd. | Hedge Fund | Cayman Islands | $61.2M | 8 |
| Rosenwald Partners, L.P. | Hedge Fund | Delaware | $37.3M | 39 |
People (6)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Rosenwald, James, Benno | Director, President | Jul 1984 (42y) | Less than 5% | |
| Rosenwald, Laura, Parker | Executive Vice President | Dec 1997 (29y) | Less than 5% | |
| Rosenwald, Jill, Nmn | Director | Aug 2013 (13y) | Less than 5% | |
| Rosenwald, Jocelyn, May | Director | Mar 2015 (11y) | Less than 5% | |
| Vora, Anita, Nmn | Chief Financial Officer, Secretary & Treasurer | May 2017 (9y) | Less than 5% | |
| Ha, Christopher, Alfred | Chief Compliance Officer | Jan 2021 (6y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Rosenwald Family Trust | Owner | Dec 1997 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (2, $98.5M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Kings Bay Investment Co. Ltd. | Hedge Fund | $61.2M | $0 | 8 |
| Rosenwald Partners, L.P. | Hedge Fund | $37.3M | $0 | 39 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/29/2026 | 2.24 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Jtc Group Ltd $89.8M (36% of AUM) Jun 2026
- Jtc Fund Services $75.6M (35% of AUM) Jun 2025
- Cayman National Fund Services $70.0M (42% of AUM) Jul 2024
- Argus Group Holdings Limited $20.9M (15% of AUM) Apr 2019
- Millennium Trust Company, Llc $18.8M (16% of AUM) Jan 2021
- Morgan Stanley $18.8M (16% of AUM) Jan 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 29, 2026.
View current Form ADV (SEC/IAPD) ↗