Roth Investment Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Roth Investment Management is a single-advisor independent investment adviser that offers discretionary asset management and investment consulting to individuals, trusts, retirement plans, and other legal entities. The firm provides ongoing portfolio management and periodic reviews of third‑party managed assets and is compensated through asset-based advisory fees.
The firm’s investment process is bottom-up, research-driven and value-oriented, with named strategies for opportunity, value, and income that typically result in concentrated portfolios (often on the order of single‑digit to mid‑teens holdings, and generally no more than about 25 positions) and a long-term holding bias. Some strategies explicitly use margin and derivatives—including covered call writing, buying protective puts, selling put options, and, in limited cases, short positions—to hedge or enhance returns, and the firm uses quantitative tools and third‑party software to support analysis.
Noteworthy for a solo independent adviser, the brochure discloses relatively small reported assets under management (about $3.99 million) combined with a willingness to employ leverage, option-selling and short strategies, and to hold a significant portion of the principals’ personal assets in the firm’s strategies. The firm also discloses it may pay for client referrals, recommends Interactive Brokers and Charles Schwab as custodians, and participates in institutional custodian programs that provide products and services to the firm.
Client services
Expertise
Fee options
$0 - $1,000,000: 1.00% $1,000,001 - $5,000,000: 0.85% $5,000,000+: 0.75%
Hourly fees billed for Investment Consulting Services, specific rates not stated.
Account minimum: $10,000
Main office
Weldon Spring MO
Advisors at this office
1
Most active in
Illinois · Missouri · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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