Brian Rosen has been Managing Member of Ritholtz Wealth Management since January 2021, is not listed as a control person, but directly owns under 5% of the firm.
Ritholtz Wealth Management is a New York, NY firm with $9.42B under management, 4,221 clients and 48 advisers across 15 offices, as of its August 2026 filing.
Brian Rosen is Sr. Advisor of Ritholtz Wealth Management. Rosen spent more than a decade trading before joining the team.
Brian Rosen’s longest registration was 10 years at Axa Advisors, LLC (2005–2015). Before joining Ritholtz Wealth Management in 2017, Brian Rosen was registered through Independent Financial Partners and Axa Advisors, LLC.
- Ritholtz Wealth ManagementCurrent– present · 8 yearsNorthbrook, IL · Adviser representative · Firm CRD 168652
- Independent Financial Partners– · 2 yearsNorthbrook, IL · Adviser representative · Firm CRD 125112
- Axa Advisors, LLC– · 10 yearsDeerfield, IL · Adviser representative · Firm CRD 6627
Investment adviser representative registrations
Brian Rosen is registered as an investment adviser representative in Illinois, since December 2017.
- IllinoisSince 4 December 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 31 May 2005 |
| Series 7 | General Securities Representative Examination | 17 May 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Brian Adam Rosen
- CRD
- 4957483
- Firm
- Ritholtz Wealth Management · CRD 168652
- Role
- Managing Member
- Office
- 401 Huehl Road, 1D, Northbrook, IL 60062
- Registration
- Investment adviser registration
- In the industry since
- May 2005
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- ritholtzwealth.com
Where does Brian Rosen work?
Brian Rosen has been Managing Member of Ritholtz Wealth Management since January 2021.
Is Brian Rosen a financial advisor?
Yes. Brian Rosen has a current investment-adviser registration in Illinois, through Ritholtz Wealth Management since December 2017.
How many years of experience does Brian Rosen have?
Brian Rosen has 21 years in the financial industry, since May 2005, across 3 adviser firms.
What exams has Brian Rosen passed?
Brian Rosen has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in May 2005. FINRA credited Brian Rosen with the SIE, which began in October 2018.
Where did Brian Rosen work before Ritholtz Wealth Management?
Before Ritholtz Wealth Management, Brian Rosen was registered through Axa Advisors, LLC, July 2005 to December 2015.
Where is Brian Rosen based?
Brian Rosen’s registered office is in Northbrook, IL.
Is Brian Rosen registered with FINRA?
No. Brian Rosen has no current broker registration.
How can I verify Brian Rosen’s record?
Search CRD 4957483 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Brian Rosen’s full registration record.
- Patricia FerraroChief Compliance Officer & Managing Member
William ArtzerounianManaging Member
Benjamin CarlsonManaging Member
Anna ChaikenManaging Member
Ross CohenManaging Member
Benjamin CoulthardManaging Member
Margaret DuquesnayManaging Member
Joel FishmanManaging Member
Taylor HollisManaging Member
Dinamarie IsolaManaging Member
Michelle KatzenManaging Member
Dylan KluenderManaging Member
Daniel LarosaManaging Member
Matthew LohriusManaging Member
Nicholas MaggiulliManaging Member
Erika MauroManaging Member
Jonathan NovyManaging Member
Alexander PalumboManaging Member
Gary PulfordManaging Member
Nicholas SapienzaManaging Member
William SweetManaging Member
Kevin YoungManaging Member
Paul ZodtnerManaging Member
Barry RitholtzManaging Member- Joshua BrownManaging Member
Kristopher VenneManaging Member
Michael BatnickManaging Member
Jay TiniManaging Member