Richard M. Rosa

VERDENCE CAPITAL ADVISORS

Hunt Valley, MD 21031

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CRD#: 2370546

Professional summary

Richard Manuel Rosa, who also goes by Rich Rosa, Richard M Rosa, is a registered financial advisor currently at VERDENCE CAPITAL ADVISORS, LLC located in Hunt Valley, Maryland.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Richard has worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rich Rosa | Richard M Rosa

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

BUSINESS OR ACTIVITY NAME: COMPASS SPORTS ADVISORS LLC FOR PROFIT OR NOT FOR PROFIT: FOR PROFIT INVESTMENT RELATED: (YES OR NO) NO ADDRESS OF BUSINESS: 5 HAMPSTON GARTH, LUTHERVILLE, MD 21093 NATURE OF BUSINESS: NFL PLAYER CONTRACT AND MARKETING CONTRACT NEGOTIATION FIRM YOUR POSITION, TITLE, ASSOCIATION: OWNER AND AGENT START DATE OF RELATIONSHIP: 01/2015 NUMBER OF HOURS DEVOTED PER MONTH: 10/HOURS PER MONTH NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: NONE YOUR DUTIES: I AM A SPORTS AGENT INVOLVED IN THE MANAGEMENT OF CLIENT CAREERS, NEGOTIATION OF CLIENT CONTRACTS AND NEGOTIATION OF CLIENT MARKETING OPPORTUNITIES AS A CERTIFIED NFL PLAYERS' ASSOCIATION AGENT. COMPASS SPORTS ADVISORS RECEIVES A 3% FEE ON NEGOTIATED AND EARNED CONTRACT AMOUNTS THAT MY CLIENTS RECEIVE THROUGH THEIR NFL PLAYER CONTRACTS WITH WHICH I AM ASSOCIATED. I RECEIVE A BONUS BASED ON A PERCENTAGE OF THE BUSINESS GENERATED. HUNT VALLEY PARTNERS. INVESTMENT RELATED. 50 SCHILLING RD, STE 300, HUNT VALLEY, MD 21031. INVESTMENT PARNTERSHIP, PARTNER. 12/2015. 1 HRS P/MONTH; 0 DURING TRADING HOURS. STRICTLY AN INVESTOR ONLY. FOR PERSONAL INVESTMENT PURPOSES ONLY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Manuel Rosa's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 26, 2017 - Present

VERDENCE CAPITAL ADVISORS, LLC

Office #1: 50 Schilling Road Suite 300, Hunt Valley, MD 21031

RIA

CRD#: 288512

Hunt Valley, MD

Past

October 27, 2015 - June 30, 2017

HIGHTOWER ADVISORS, LLC

RIA

CRD#: 145323

HUNT VALLEY, MD

Past

April 17, 2006 - December 31, 2008

EASTERN ATHLETIC REFERRAL SYSTEMS, LLC

RIA

CRD#: 140027

HUNT VALLEY, MD

Past

October 1, 2001 - February 3, 2006

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

HUNT VALLEY, MD

Past

September 15, 2001 - February 3, 2006

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

September 28, 2000 - September 15, 2001

HOWARD WEIL INCORPORATED

CRD#: 30958

NEW ORLEANS, LA

Past

January 26, 1995 - December 31, 1998

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

December 20, 1993 - November 14, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 14, 1993 - December 22, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VERDENCE CAPITAL ADVISORS, LLC

KWM ADVISORS, LLC | VERDENCE/FAMILY | VERDENCE CAPITAL ADVISORS, LLC | RIA+

CRD#: 288512 / SEC#: 801-110722

RIA

Registered Investment Advisory firm - (6/26/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Maryland
(6/26/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/27/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/15/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/4/1993

General Securities Representative Examination

Current Firm

VERDENCE CAPITAL ADVISORS, LLC

KWM ADVISORS, LLC | VERDENCE/FAMILY | VERDENCE CAPITAL ADVISORS, LLC | RIA+

CRD#: 288512 / SEC#: 801-110722

RIA

Registered Investment Advisory firm - (6/26/2017 Approved)

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Contact information

Main Address

50 Schilling Road Suite 300, Hunt Valley, MD 21031

Mailing Address

Phone number

(410) 472-5380

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	7,206
AUM (Assets Under Management)	$ 3,912,055,977

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/24/2025	Cover Page	Report
09/11/2024	Cover Page	Report
01/03/2024	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Richard M. Rosa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Manuel Rosa's CRS (Customer Relationship Summary).

Certified licenses

Experience

HIGHTOWER ADVISORS, LLC

EASTERN ATHLETIC REFERRAL SYSTEMS, LLC

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

HOWARD WEIL INCORPORATED

WS GRIFFITH SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

VERDENCE CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/27/2015

Series 63

Date: 12/15/1993

Series 7

Date: 10/4/1993

Current Firm

VERDENCE CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VERDENCE CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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