{"url":"https://nivawealth.com/firms/eliot-rose-wealth-management-120465","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/120465","regulatoryAum":186327765,"crd":"120465","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5722409","suffix":null,"lastName":"SIPERSTEIN","firstName":"JASON","middleName":"ELIOT"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-06-03","regulatoryAum":101302767,"clients":138,"employees":4,"offices":1},{"filedOn":"2022-03-22","regulatoryAum":116885289,"clients":139,"employees":4,"offices":1},{"filedOn":"2023-04-07","regulatoryAum":113724459,"clients":147,"employees":4,"offices":4},{"filedOn":"2024-04-01","regulatoryAum":125533216,"clients":156,"employees":4,"offices":2},{"filedOn":"2025-03-26","regulatoryAum":152815670,"clients":157,"employees":4,"offices":2},{"filedOn":"2026-02-11","regulatoryAum":186327765,"clients":141,"employees":4,"offices":1}],"secFileNumber":"801-121354","legalName":"Eliot Rose Wealth Management, LLC","displayName":"Eliot Rose Wealth Management","slug":"eliot-rose-wealth-management-120465","website":"https://eliotrose.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/120465/2d832de83ff22839-r1.webp","tone":"light","width":752,"height":200,"sourceUrl":"https://www.eliotrose.com","sourceLabel":"Eliot Rose Wealth Management, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/eliotrosewealth/about/","founded":null,"organization":"Rhode Island limited liability company","fiscalYearEnd":"December","headquarters":{"street":"10 Dorance Street, Suite 700","city":"Providence","state":"RI","stateName":"Rhode Island","country":"United States","postalCode":"02903"},"tradeNames":[],"registration":{"secApproved":"2 July 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2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:33:08.89508+00:00","documents":[{"name":"PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1008322","versionId":1008322,"submittedOn":"2026-02-11"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":186327765}],"custodyNote":"Eliot Rose Wealth Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Jason Siperstein","title":"Chief Compliance Officer, Member","crd":"5722409"},{"name":"Gary Siperstein","title":"Managing Member","crd":"1121526"}],"ownership":[{"label":"Gary Siperstein","detail":"Managing member in the 10% to 25% ownership band and a control person, since April 2002."},{"label":"Jason Siperstein","detail":"Chief compliance officer, member in the 75% or more ownership band and a control person, since January 2016."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Rhode Island","offices":1,"addresses":[{"street":"10 Dorance Street, Suite 700","city":"Providence","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"401-588-5102","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":17},{"label":"U.S. government/agency bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":76},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"11 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/120465/PDF/120465.pdf","brochureDate":"11 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1008322","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Eliot Rose Wealth Management have?","answer":"Eliot Rose Wealth Management has 141 clients and manages $186 million for them, as of February 2026. They include 88 individual clients and 53 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 11 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Eliot Rose Wealth Management offer?","answer":"Eliot Rose Wealth Management provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Eliot Rose Wealth Management charge?","answer":"Eliot Rose Wealth Management charges 0.50%–1.25% a year for its Investment Management Fees. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.","source":"PART 2A, filed 11 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Eliot Rose Wealth Management use?","answer":"Eliot Rose Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $186M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 11 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Eliot Rose Wealth Management have?","answer":"Eliot Rose Wealth Management has 1 investment adviser representative registered with state securities authorities, out of 4 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Eliot Rose Wealth Management invest in?","answer":"At the end of its last fiscal year, Eliot Rose Wealth Management’s separately managed accounts held 76% registered funds (mutual funds, ETFs, BDCs), 17% exchange-traded equities, 4% cash and equivalents and 3% U.S. government and agency bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Eliot Rose Wealth Management?","answer":"Eliot Rose Wealth Management’s direct owners are Gary Siperstein (10% to 25%) and Jason Siperstein (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 11 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Eliot Rose Wealth Management get paid?","answer":"Eliot Rose Wealth Management is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Eliot Rose Wealth Management?","answer":"Eliot Rose Wealth Management’s main office is at 10 Dorance Street, Suite 700, Providence, RI 02903. Its phone number is 401-588-5102. Its website is eliotrose.com.","source":"Form ADV Part 1A, Item 1.F, filed 11 February 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}