Sarasota, FL Office

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.