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Ethan H. Corman

Rosecap Investment Advisors, LLC

Grand Junction, CO

Richmond, KY

CRD 6442620

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Employer firm

Rosecap Investment Advisors, LLC CRD 152054

$528M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Rosecap Investment Advisors, Llc

200 Grand Ave Suite 205, Grand Junction, CO 81501 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2022-03-10
TX RA APPROVED 2022-03-10
  • CO RA
    APPROVED
    Since 2022-03-10
  • TX RA
    APPROVED
    Since 2022-03-10

Branch Locations

200 Grand Ave Suite 205, Grand Junction, CO 81501 • United States

Richmond, KY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rosecap Investment Advisors, Llc Grand Junction CO 12/2013 01/2019
Army Contracting Command - Ri Richmond KY 03/2019 04/2020
Lockheed Martin Corp. Lexington KY 04/2020 04/2021
Rosecap Investment Advisors, Llc Grand Junction CO 06/2021 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-11-24
  • S65 Uniform Investment Adviser Law Examination
    2014-11-24
Designations
  • Chartered Financial Analyst

View on SEC IAPD

Nearby Firms

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
LPL FINANCIAL LLC
EDWARD JONES

Nearby Investors

RICHARD ALAN KELLER
Zachary Paul Bryant
Michelle Jean Lawton

Nearby Offices

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Grand Junction, CO
LPL FINANCIAL LLC · GRAND JUNCTION, CO
EDWARD JONES · GRAND JUNCTION, CO

More in Grand Junction, CO

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