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
2
of 4 employees
About
Rothman Investment Management provides portfolio management, comprehensive financial planning, consulting, and an ongoing financial coaching service to individual and high‑net‑worth clients as well as some charitable organizations. The firm manages about $104.6 million in client assets, operates with two advisors, and serves roughly 131 client relationships.
Its investment process is governed by individualized Investment Policy Statements and emphasizes a long‑term, multi‑strategy approach that blends quantitative ETFs, fundamental analysis, and modern portfolio theory with in‑house small‑cap value, dividend, and specialty allocations. The firm also deploys strategies that may include mutual funds, REITs, private equity and credit, and it uses options, inverse/leveraged ETFs and other derivatives for hedging and strategy implementation, including within separately managed accounts.
Noteworthy features relative to peers include the explicit use of derivatives and rule‑based hedging overlays in client accounts and the selective inclusion of non‑traded private capital funds and non‑traded REITs. The firm also makes limited use of a tax‑aware long/short third‑party manager for certain clients and offers a paid financial coaching program that provides implementation guidance separate from its investment management services.
Client services
Expertise
Occupation focus
Fee options
Comprehensive financial plan starts at $3,500; financial coaching $5,000 per year payable quarterly
$0 - $1,000,000: 1.00%, subject to $3,000 annual minimum fee $1,000,001 - $5,000,000: 0.75% >$5,000,000+: 0.5%
Financial planning hourly rate $400/hour; consulting hourly rates $400/hour (Jacob Rothman), $250/hour (Larson Patty)
Financial coaching $5,000 per year, payable quarterly
Minimum fee: $5,000 annual minimum fee for portfolio management services, applied quarterly at $1,250 per quarter Fee-only: Financial planning fees starting at $3,500, hourly rate $400/hour, consulting hourly rates $400/hour (Jacob Rothman) and $250/hour (Larson Patty), financial coaching $5,000 per year payable quarterly
Main office
9700 El Camino Real, Suite 302
Atascadero CA 93422
Advisors at this office
2
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:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
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 a Series 65 credential and three years of industry experience. Prior to joining Rothman Investment Management, Patty worked at Independent Financial for four years. In addition to advisory work, Patty holds a real estate license in Texas and occasionally earns commissions from assisting with real estate transactions. Rothman Investment Management provides discretionary portfolio management, financial planning, consulting, and financial coaching to individuals, high-net-worth clients, and charitable organizations. The firm uses quantitatively driven investment strategies combined with regular portfolio monitoring and tailors portfolios to client goals and risk tolerances.
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 advisory role, he serves as a board member for Sierra Vista Hospital, attending monthly meetings focused on safety, licensing, and community issues. Rothman Investment Management provides discretionary portfolio management, financial planning, consulting, and ongoing financial coaching to individuals, high-net-worth clients, and charitable organizations. The firm employs quantitatively driven investment strategies combined with regular portfolio monitoring and annual reviews, blending systematic ETF approaches with specialized allocations and a separate financial coaching service.
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor's Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and referrals are provided by FinanceHQ LLC ("FHQ"), a wholly-owned subsidiary of Warmer and an SEC-registered investment adviser. We may be compensated by participating advisors. You pay no fee to use our matching service, and advisor fees are not increased because of a referral. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to the Warmer Terms of Service and FHQ Advisory Agreement, and acknowledge Warmer's Privacy Policy. Please review FHQ's ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")