Rothman Investment Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$74,743,700
Clients
131
Advisors
3
of 4 employees
About
Rothman Investment Management provides discretionary and non-discretionary investment advisory services to individuals, high-net-worth individuals, and certain charitable organizations, along with comprehensive financial planning, consulting, and ongoing financial coaching. The firm prepares an Investment Policy Statement for each client and implements portfolios across ETFs, mutual funds, individual securities, and select private or real estate investments.
The firm favors a long-term, rules‑based approach that combines quantitative and fundamental analysis—using value, momentum, and quality exposures and modern portfolio theory—to construct diversified portfolios, typically expressed through ETFs. It also incorporates more specialized instruments in certain accounts: from non‑traded private capital and REITs to derivatives and option-based ETFs, and it may use options, short sales or margin on a selective basis for hedging or tactical purposes with client disclosure and documentation.
Distinctive features include the firm’s explicit use of derivatives and option/inverse ETF overlays in separately managed accounts, a practice that is uncommon among peers, and the operation of in‑house strategies such as a small‑cap value sleeve. The firm has also disclosed that some personnel hold real estate licenses and participate in private real estate LLCs, which aligns with its willingness to consider non‑traded and private real estate or credit investments alongside liquid, rules‑based strategies.
Client services
Expertise
Occupation focus
Fee options
$0 - $1,000,000: 1.00% (subject to $5,000 annual minimum fee) $1,000,001 - $5,000,000: 0.75% >$5,000,000+: 0.50%
Hourly consulting fee rates: $400/hour for Jacob Rothman, $250/hour for Larson Patty.
Financial coaching fee: $5,000 per year, payable quarterly.
Minimum fee: $5,000 annual minimum fee for portfolio management services, applied quarterly at $1,250 Fee-only: Financial planning fees, project-based or hourly starting at $4,000; hourly rate $400; financial coaching $5,000/year payable quarterly.
Main office
9700 El Camino Real, Suite 302
Atascadero CA 93422
Advisors at this office
3
Most active in
California · Georgia · Massachusetts · Texas · Wyoming
Also doing business as
Rothman Investment Management · Rothman Investment Management, LLC · Rothman, Jacob T
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
Quick links
Advisors at this firm
Larson P
Series 65
Atascadero, CA
Rothman Investment Management, LLC
Larson Patty is a financial advisor at Rothman Investment Management, LLC with four years of industry experience. He holds a Series 65 designation and previously worked at Independent Financial. Outside of advising, he holds a real estate license in Texas and occasionally receives commissions for assisting with real estate transactions. Rothman Investment Management provides investment advisory services and financial planning to individuals, high-net-worth clients, and charitable organizations, employing a long-term, rules-based investment approach that integrates quantitative and fundamental analysis across diversified portfolios. The firm is noted for its use of derivatives and option-based overlays and includes private real estate and credit investments alongside traditional strategies.
Jacob R
CFP®, CFA®
Atascadero, CA
Rothman Investment Management, LLC
Jacob Rothman is a CFP® and CFA® with 11 years of industry experience. He has been with Rothman Investment Management, LLC since 2014. Outside of his advising role, he serves as a board member of Sierra Vista Hospital, participating in monthly meetings focused on safety, licensing, and community matters. Rothman Investment Management provides discretionary and non-discretionary investment advisory services and financial planning to individuals, high-net-worth clients, and charitable organizations. The firm employs a long-term, rules-based approach that integrates quantitative and fundamental analysis, incorporating diversified portfolios primarily through ETFs and selectively using derivatives and option overlays.
Tyler C
Series 65
Atascadero, CA
Rothman Investment Management, LLC
Tyler Chandler is a Series 65-licensed advisor at Rothman Investment Management, LLC with one year of industry experience. Before joining Rothman in 2026, he worked for TSG Wealth Management for one year and was employed with Cal Poly Event Staff for three years. He also spent 14 years in full-time education. Rothman Investment Management provides investment advisory services and financial planning to individuals, high-net-worth clients, and charitable organizations. The firm employs a long-term, rules-based investment approach that integrates quantitative and fundamental analysis to build diversified portfolios, including the use of derivatives and option-based ETFs in select accounts.
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