{"url":"https://nivawealth.com/firms/rose-grove-capital-management-156572","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/156572","regulatoryAum":1936281345,"crd":"156572","history":[{"filedOn":"2021-03-15","regulatoryAum":2140400367,"clients":7,"employees":14,"offices":2},{"filedOn":"2022-03-03","regulatoryAum":2389522223,"clients":9,"employees":16,"offices":2},{"filedOn":"2023-03-02","regulatoryAum":1918510441,"clients":9,"employees":16,"offices":2},{"filedOn":"2024-03-11","regulatoryAum":1733186207,"clients":9,"employees":15,"offices":1},{"filedOn":"2025-03-24","regulatoryAum":1919896027,"clients":10,"employees":15,"offices":1},{"filedOn":"2026-03-10","regulatoryAum":1936281345,"clients":9,"employees":15,"offices":1}],"secFileNumber":"801-73698","legalName":"Rose Grove Capital Management, LLC","displayName":"Rose Grove Capital Management","slug":"rose-grove-capital-management-156572","website":"https://rosegrovecapital.com/","classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"40 Grove Street, Suite 170","city":"Wellesley","state":"MA","stateName":"Massachusetts","country":"United States","postalCode":"02482"},"tradeNames":[],"registration":{"secApproved":"30 March 2012","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":15,"advisory":7,"brokerDealerReps":0,"insuranceAgents":0,"promoters":2},"aum":{"regulatory":1936281345,"discretionary":1936281345,"discretionaryAccounts":9,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":67,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":8,"regulatoryAum":1812304046},{"label":"Charitable organizations","clients":1,"regulatoryAum":123977299}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Bofa Securities, Inc.","shortName":"Bofa Securities","location":"New York, NY","smaAssets":51374351},{"name":"Goldman Sachs & Co. LLC","shortName":"Goldman Sachs & Co.","location":"New York, NY","smaAssets":49941853},{"name":"J.P. Morgan Clearing Corp.","shortName":"J.P. Morgan","location":"Brooklyn, NY","smaAssets":22661094}],"custodyNote":"Rose Grove Capital Management has custody of $1.47B in client assets for 5 clients.","otherCustodians":[],"leadership":[{"name":"Hope Pascucci","title":"Principal/President","crd":"2074372"},{"name":"Susan Petrovic","title":"Chief Compliance Officer/Chief Financial Officer","crd":"2524078"},{"name":"Michael Pascucci","title":"Principal/Portfolio Manager","crd":"1493523"}],"ownership":[{"label":"Rose Grove Capital Holdings, LP","detail":"Managing member in the 75% or more ownership band and a control person, since December 2014."},{"label":"RGGP Inc.","detail":"Indirect owner: general partner of Rose Grove Capital Holdings, LP and a control person, since December 2014.","parent":"Rose Grove Capital Holdings, LP"},{"label":"Michael Pascucci","detail":"Indirect owner: a principal/portfolio manager of Rose Grove Capital Holdings, LP in the 25% to 50% band and a control person, since August 2006. Also a principal/portfoliomanager of RGGP Inc. in the 25% to 50% band and a control person, since August 2006.","parent":"Rose Grove Capital Holdings, LP"},{"label":"Hope Pascucci","detail":"Indirect owner: a principal/president of Rose Grove Capital Holdings, LP in the 75% or more band and a control person, since June 2007. Also a principal/president of RGGP Inc. in the 75% or more band and a control person, since June 2007.","parent":"Rose Grove Capital Holdings, LP"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Massachusetts","offices":1,"addresses":[{"street":"40 Grove Street, Suite 170","city":"Wellesley","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"781-304-1600","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":29},{"label":"U.S. government/agency bonds","percent":12},{"label":"Investment grade corporate bonds","percent":43},{"label":"Non-investment grade corporate bonds","percent":16}],"privateFunds":4},"sources":{"adv1FilingDate":"10 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/156572/PDF/156572.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Rose Grove Capital Management have?","answer":"Rose Grove Capital Management has 9 clients and manages $1.94 billion for them, as of March 2026. They include 8 pooled investment vehicles and 1 charitable organization.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 10 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Rose Grove Capital Management offer?","answer":"Rose Grove Capital Management provides portfolio management for pooled vehicles and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Rose Grove Capital Management use?","answer":"Rose Grove Capital Management’s separately managed account assets are held at Bofa Securities, Inc. (New York, NY), with $51.4M, Goldman Sachs & Co. LLC (New York, NY), with $49.9M and J.P. Morgan Clearing Corp. (Brooklyn, NY), with $22.7M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 10 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Rose Grove Capital Management have?","answer":"Rose Grove Capital Management has 0 investment adviser representatives registered with state securities authorities, out of 15 employees, and 7 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 Rose Grove Capital Management invest in?","answer":"At the end of its last fiscal year, Rose Grove Capital Management’s separately managed accounts held 43% investment grade corporate bonds, 29% exchange-traded equities, 16% high-yield corporate bonds and 12% U.S. government and agency bonds. It advises 4 private funds.","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 Rose Grove Capital Management?","answer":"Rose Grove Capital Management is owned through a holding company by Michael and Hope Pascucci. Its direct owner is Rose Grove Capital Holdings, LP (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 10 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Rose Grove Capital Management get paid?","answer":"Rose Grove Capital Management is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions 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 Rose Grove Capital Management?","answer":"Rose Grove Capital Management’s main office is at 40 Grove Street, Suite 170, Wellesley, MA 02482. Its phone number is 781-304-1600. Its website is rosegrovecapital.com.","source":"Form ADV Part 1A, Item 1.F, filed 10 March 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."}