Rosen Investment Management LLC

Rosen Investment Management, LLC provides investment advisory services to individuals and high‑net‑worth clients but does not directly manage custody or execute trades for client accounts. The firm assists clients with an investor profile questionnaire, recommends an allocation model, and coordinates with an unaffiliated adviser, Matson Money, to implement and monitor portfolios.

RIM’s investment process is grounded in modern portfolio theory and relies on Matson Money’s proprietary asset allocation models and model portfolios to tailor allocations based on each client’s risk profile and imposed restrictions. The firm performs ongoing monitoring and at least annual reviews with clients, but it does not have discretionary trading authority or custody of client assets and clients receive custodial account statements directly.

Noteworthy distinctions include that the firm’s principal is a practicing attorney who, separately, may provide legal services to clients, and that RIM actively recommends and selects third‑party advisers (with disclosed fee‑sharing arrangements) rather than managing assets directly in pooled vehicles. The brochure also discloses that RIM may offer periodic educational seminars for groups, a combination of solicitor relationships and educational programming that is less common among peer investment managers.