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Mesa, AZ • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-09-29 |
| AZ | RA | APPROVED | 2015-04-01 |
Branch Locations
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Strategic Financial Group, Plc | Mesa | AZ | 11/2009 | Present |
| Azdot, Llc | Mesa | AZ | 05/2017 | Present |
| Azdot Income Fund 3, Llc | Mesa | AZ | 03/2024 | Present |
| Andrew The Home Buyer Income Fund, Llc | Mesa | AZ | 06/2026 | Present |
1. James A Rosebrough Jr is an owner of Islands Rental, LLC which invests in rental property. 2. Mr. Rosebrough acts as a Real Estate Agent, which accounts for approximately 5% of his time. 3. Mr. Rosebrough is licensed to sell life and health insurance and may engage in product sales or referrals with our clients, for which he will receive additional compensation. Any commissions received through life or health insurance sales do not offset advisory fees for advisory services under Mr. Rosebrough. 4. Mr. Rosebrough is licensed to sell Property and casualty insurance and may engage in product sales or referrals with our clients, for which he will receive additional compensation. Any commission received through property and casualty insurance sales do not offset advisory fees for advisory services under Mr. Rosebrough. 5. Mr. Rosebrough May received a fee up to 2% for recommendation of investment to private registered funds, including but not limited to Tradewinds, LLC. 6. Mr. Rosebrough is one of the managing members of AZDOT, LLC. AZDOT, LLC is an Arizona limited liability company which was formed on May 18, 2017, to become the Administrative Member of a series of member-managed limited liability companies (“LLCs” or “Lending LLCs”) being formed by persons who wish to make loans to borrowers who will secure their loans by deeds of trust (sometimes “DOTs”) recorded against real estate. AZDOT, LLC as the Administrative Member, will seek organizers and administer the setup of LLCs to make the loans and see that DOTs in first position on real properties located in Arizona. Currently AZDOT, LLC is the Managing Member for the AZDOT Income Fund 3, LLC, a Reg-D fund, of which Mr. Rosebrough is the fund’s Manager. AZDOT, LLC is also a Member of ATHB Fund Management, LLC, which manages the Andrew The Home Buyer Income Fund, LLC where Mr. Rosebrough is the Chief Investment Officer. Mr. Rosebrough devotes about 30% of his time on these endeavors. 7. Mr. Rosebrough is an owner of Common Cents Accounting, which Jenifer H Rosebrough, his wife, is also an owner and the operator of a bookkeeping and tax firm. Mr. Rosebrough works on this business 5% of the time. 8. January 2021-Mr. Rosebrough is a mortgage loan originator for W Capital LLC, in Phoenix Az. This takes apprx. 10% of his time.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-03-02 |
| S63 | Uniform Securities Agent State Law Examination | 2001-04-19 |
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