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Rothman Investment Management, LLC CRD 173139
$105M regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
9700 El Camino Real, Suite 302, Atascadero, CA 93422 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WY | RA | APPROVED | 2023-04-25 |
| TX | RA | APPROVED | 2022-04-19 |
| GA | RA | APPROVED | 2022-03-23 |
| MA | RA | APPROVED | 2015-05-11 |
| CA | RA | APPROVED | 2015-01-05 |
Branch Locations
9700 El Camino Real, Suite 302, Atascadero, CA 93422 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rothman Investment Management | Atascadero | CA | 09/2014 | Present |
Sierra Vista Hospital; investment related: No; 1010 Murray Avenue, San Luis Obispo, CA 93405; Hospital; Board member; Attend monthly meetings as a community member to oversee safety, licensing and community issues.; 2019-01-01; Hours devoted to business during trading hours: 3; Hours devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 2.
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