Shummi Jindal is a registered investment advisor at Rose Capital Advisors, LLC, based in Plandome, NY. Shummi operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Business Owners, Education Planning, Estate Planning, and 6 more. Their firm serves 375 clients with $610M in assets under management.
Compensation
Firm Size
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Fee Structure
Rose Capital Advisors offers investment management through a wrap fee program and private funds, with specific fee schedules detailed in separate program brochures. For private pooled investment vehicles managed by the firm, investors pay an annual management fee of 0.50% on committed capital and subsequently on invested capital for five years, along with potential performance-based incentive fees if returns exceed an established benchmark or hurdle rate.
Location
Plandome, NY
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Current Registrations
Rose Capital Advisors, LLC
State Registrations1 state
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