T. Rose & Associates, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$14,198,968
Clients
37
Advisors
2
across 2 offices
About
T. Rose & Associates, Inc. provides discretionary investment management and financial planning to individuals (including high‑net‑worth clients), trusts, estates, retirement plans, businesses, and private investment funds. The firm manages portfolios composed of public equities, fixed income, options, and other instruments and tailors advisory agreements and investment guidelines to individual client needs.
The firm’s investment process incorporates fundamental and market analysis, security‑specific research, and risk management techniques, and it may employ long‑term equity positions, options strategies, and hedging to pursue client objectives. As managing member of a private investment fund, the firm also implements volatility‑overlay and options‑based strategies that can involve derivatives, short positions, and leverage.
Distinctive among similarly sized supported firms, T. Rose & Associates serves as both sponsor and investment manager of a private fund offered only to eligible investors, with fund‑specific liquidity terms (including a lock‑up, quarterly redemptions, and redemption gates) and performance‑based compensation arrangements that create additional allocation and conflict‑of‑interest considerations. The firm is relatively small—approximately $14.7 million in regulatory AUM across roughly 37 client relationships—and disclosed a settled civil complaint from 2023 related to prior investment losses; prospective clients are advised to review the Form ADV and the fund offering documents for further details.
Client services
Expertise
Fee options
$0 - /equity or balanced portfolio/: up to 2.00% annually for Equity/Balanced and Aggressive Equity Hedged Strategies $0 - /fixed income portfolio only/: 0.75% annually for Fixed Income Strategies
20% incentive allocation on net new profits above a 6% annualized hurdle rate for Second Derivative Capital LLC (private fund), subject to a high-water mark
Account minimum: $1,000,000 (for private investment fund Second Derivative Capital LLC; general advisory accounts have no stated minimum) Fee-only: Annual asset-based management fee of up to 2.00% for Equity/Balanced and Aggressive Equity Hedged Strategies; 0.75% for Fixed Income Strategies; performance-based fees for private fund clients
Main office
See officeSarasota FL
Advisors at this office
1
Most active in
Minnesota
Also doing business as
Second Derivative Capital LLC · T. Rose & Associates, Inc.
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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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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
Timothy R
Series 63, Series 65
Sarasota, FL
T. Rose & Associates, Inc.
Timothy Rose is a financial advisor at T. Rose & Associates, Inc. with 22 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at both T. Rose & Associates and Second Derivative Capital LLC. He is also involved in hedge fund investing through Second Derivative Capital LLC. T. Rose & Associates, Inc. provides discretionary investment management and financial planning services to individuals, trusts, estates, retirement plans, businesses, and private investment funds. The firm’s investment approach combines fundamental and market analysis with security-specific research and risk management, employing strategies such as long-term equity positions, options, and hedging tailored to client needs.
Daniel R
Series 66
St Louis Park, MN
T. Rose & Associates, Inc.
Daniel Rose is a Series 66-registered advisor with T. Rose & Associates, Inc. in St. Louis Park, MN, with two years of industry experience. Prior to joining the firm, he worked at Equitable Advisors LLC and has held roles outside the financial sector, including at North Loop Detailing and the University of St. Thomas. T. Rose & Associates, Inc. provides discretionary investment management and financial planning services to individuals, trusts, estates, retirement plans, businesses, and private investment funds. The firm employs a range of strategies including fundamental and market analysis, options, and hedging, and serves as both sponsor and investment manager of a private fund available to eligible investors.
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