SourcingSourcing

ROSENWALD CAPITAL MANAGEMENT, INC.

C42
CRD 290118·SEC 801-112520·REDONDO BEACH, CA
AUM
$248.1M
$100M-$500M
Est. Revenue
$2.5M
@ 1% on AUM
Est. EBITDA
$744K
@ 30% margin
Est. Deal Value
$6.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
ROSENWALD CAPITAL MANAGEMENT, INC.
CRD
290118
SEC file #
801-112520
EIN
000000000
DBA names
—

Economics

AUM
$248.1M
AUM band
$100M-$500M
AUM trajectory
'20'26
$141.2M → $248.1M▲ +76%
Client mix
Pooled Investment Vehicles2
Charitable Organizations1

Operations

Employees (total)
6
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'20'26
1 advisors → 1 advisors▬ 0%
Primary office
REDONDO BEACH CA
Branches
—

Custodian & Brokerage

Primary custodian
Morgan Stanleylow confidence
Services offered
Portfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
ROSENWALD FAMILY TRUST
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
7
Control Persons
ROSENWALD FAMILY TRUST
HA, CHRISTOPHER, ALFRED
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001878477
Edgar Registered
Yes
Edgar Filing Count
10
Edgar First Filing Date
2021-08-17
Edgar Last Filing Date
2026-02-05
Edgar Form D Count
10
Edgar Form D Offerings
2026-02-052026-02-05 · 0001878477-26-000002
2025-03-042025-03-04 · 0001878477-25-000003
Edgar Former Names
Michael 1925 LLC

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
Morgan Stanley5
E*trade4
Jpmorgan2
Edgar Addresses
Mailing
C/O DALTON INVESTMENT TRUST9440 WEST SAHARA AVENUE, SUITE 215LAS VEGAS, NV 89117
Business
C/O DALTON INVESTMENT TRUST9440 WEST SAHARA AVENUE, SUITE 215LAS VEGAS, NV 89117
Edgar EIN
000000000
Edgar Recent Filings
D/A2026-02-05 · 0001878477-26-000002
D/A2025-03-04 · 0001878477-25-000003
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
Yes

People (6)

6
HA, CHRISTOPHER, ALFRED
Executive Officer · 2.5%
6095216
ROSENWALD, JAMES, BENNO
Executive Officer · 2.5%
1241892
ROSENWALD, JILL, NMN
Executive Officer · 2.5%
6231227
ROSENWALD, JOCELYN, MAY
Executive Officer · 2.5%
6860202
ROSENWALD, LAURA, PARKER
Executive Officer · 2.5%
6860203
VORA, ANITA, NMN
Executive Officer · 2.5%
6860205