Shufro, Rose & Co., Llc
- Regulatory AUM
- $2.5B
- Discretionary
- $2.4B
- Clients
- 1,331
- Avg AUM / client
- $1.9M
- Accounts
- 3,009
- Employees
- 27
AUM over time
Annual snapshots from Form ADV filings · as of Apr 21, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 660 | $254M | 10.3% |
| High net worth individuals | 547 | $2.1B | 83.3% |
| Pension and profit sharing plans | 57 | $36.3M | 1.47% |
| Charitable organizations | 18 | $13.8M | 0.56% |
| Corporations and other businesses | 49 | $107M | 4.34% |
People (13)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Stephen David Leit | Principal And Senior Financial Advisor | CFA | Jan 1989 (38y) | 25% – 50% |
| Steven Jeffrey Glass | Principal And Senior Financial Advisor | Jan 1997 (30y) | 10% – 25% | |
| Harvey Wacht | Principal And Senior Financial Advisor | Sep 2002 (24y) | 5% – 10% | |
| John Marinus Contant | Principal And Senior Financial Advisor | Jan 2004 (23y) | 10% – 25% | |
| Gregory David Shufro | Principal And Senior Financial Advisor | Apr 2008 (18y) | 10% – 25% | |
| Tonia Kaminsky | Principal And Senior Financial Advisor | Apr 2009 (17y) | 10% – 25% | |
| Horne, Tara, Nichole | Chief Compliance Officer | Jan 2024 (3y) | Less than 5% | |
| Barbara Elise Silverman | Registered representative | CFA | Oct 2009 (17y) | |
| Gerson Robert Ossers | Registered representative | CFP | Apr 2020 (6y) | |
| Anthony Trevor Santoloci | Registered representative | Mar 2021 (5y) | ||
| Aimee Adler | Registered representative | CFP | Feb 2024 (2y) | |
| Garrett Lawton Cole | Registered representative | Dec 2024 (2y) | ||
| Lance Christopher Armenta | Registered representative | Dec 2024 (2y) |
Undisclosed: 0% – 30% 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/21/2026 | 1.13 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- National Financial Services (Fidelity) $2.5B (100% of AUM) Apr 2026
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: Apr 21, 2026.
View current Form ADV (SEC/IAPD) ↗