Brian A. Rosen

RITHOLTZ WEALTH MANAGEMENT

Northbrook, IL 60062

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CRD#: 4957483

Professional summary

Brian Adam Rosen, who also goes by Brian Rosen, is a registered financial advisor currently at RITHOLTZ WEALTH MANAGEMENT located in Northbrook, Illinois.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Brian has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Rosen

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Adam Rosen'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

December 4, 2017 - Present

RITHOLTZ WEALTH MANAGEMENT

Office #1: 401 Huehl Road 1d, Northbrook, IL 60062

RIA

CRD#: 168652

Northbrook, IL

Past

December 16, 2015 - January 26, 2018

INDEPENDENT FINANCIAL PARTNERS

RIA

CRD#: 125112

Northbrook, IL

Past

December 14, 2015 - December 13, 2017

LPL FINANCIAL LLC

CRD#: 6413

NORTHBROOK, IL

Past

July 20, 2005 - December 9, 2015

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

DEERFIELD, IL

Past

May 18, 2005 - December 9, 2015

EQUITABLE ADVISORS, LLC

CRD#: 6627

DEERFIELD, IL

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".

RITHOLTZ WEALTH MANAGEMENT

COMPREHENSIVE PORTFOLIO MANAGEMENT, LLC | RITHOLTZ WEALTH MANAGEMENT | RITHOLTZ & CO. | LIFTOFF | GOOD ADVICE

CRD#: 168652 / SEC#: 801-78479

RIA

Registered Investment Advisory firm - (9/16/2013 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

Illinois
(12/4/2017)

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 66

Date: 5/31/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/13/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/2005

General Securities Representative Examination

Current Firm

RITHOLTZ WEALTH MANAGEMENT

COMPREHENSIVE PORTFOLIO MANAGEMENT, LLC | RITHOLTZ WEALTH MANAGEMENT | RITHOLTZ & CO. | LIFTOFF | GOOD ADVICE

CRD#: 168652 / SEC#: 801-78479

RIA

Registered Investment Advisory firm - (9/16/2013 Approved)

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Contact information

Main Address

24 West 40th Street 15th Floor, New York, NY 10018

Mailing Address

Phone number

(212) 625-1200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (7/2/2025)

Regulatory assets under management

Total Number of Accounts	11,801
AUM (Assets Under Management)	$ 6,459,181,176

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/28/2025	Cover Page	Report
04/10/2024	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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Advisor Monitoring

Firm Stability Insights

Brian A. Rosen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Adam Rosen's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL PARTNERS

LPL FINANCIAL LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

RITHOLTZ WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 5/31/2005

SIE

Date: 12/13/2017

Series 7

Date: 5/17/2005

Current Firm

RITHOLTZ WEALTH MANAGEMENT

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RITHOLTZ WEALTH MANAGEMENT

TRUST BUT VERIFY

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