SourcingSourcing

SHUFRO, ROSE & CO., LLC

B51
CRD 3403·SEC 801-977·NEW YORK, NY
AUM
$2.46B
$1B+
Est. Revenue
$24.6M
@ 1% on AUM
Est. EBITDA
$7.4M
@ 30% margin
Est. Deal Value
$59.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SHUFRO, ROSE & CO., LLC
CRD
3403
SEC file #
801-977
EIN
135390713
DBA names
—

Economics

AUM
$2.46B
AUM band
$1B+
AUM trajectory
'20'26
$1.57B → $2.46B▲ +57%
Client mix
Individuals Other660
Individuals High Net Worth547
Pension Profit Sharing Plans57
Corporations49
Charitable Organizations18

Operations

Employees (total)
27
Advisory staff (per ADV)
9
Advisory staff (5-yr trend)
'20'26
8 advisors → 9 advisors▲ +13%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisers
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
04/21/2026
ADV-W filed at
—
Website
linkedin.com/company/shufro-rose-&-co.-llc(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
LEIT, STEPHEN, DAVID
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
7
Control Persons
LEIT, STEPHEN, DAVID
CONTANT, JOHN, MARINUS
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:shufrorose.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
Yes
Form 5500 Plan Count
1
Form 5500 Total Participants
35
Form 5500 Compensation Trajectory 3y
20240
Form 5500 Plan Count Trajectory 3y
20241
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0000908195
Edgar Registered
Yes
Edgar Filing Count
206
Edgar First Filing Date
1998-03-06
Edgar Last Filing Date
2026-05-15
Edgar 13f Count
122
Edgar 13f Latest AUM Estimate
Filing Date2026-05-15
Accession0000908195-26-000002
Edgar Former Names
SHUFRO ROSE EHRMAN

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

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
12
Bc Firm IAR Count
12
Custodian Candidates
Full
Fidelity4
E*trade4
Charles Schwab3
Edgar Addresses
Mailing
600 LEXINGTON AVENUE15TH FLOORNEW YORK, NY 10022
Business
600 LEXINGTON AVENUE15TH FLOORNEW YORK, NY 10022
Edgar EIN
135390713
Edgar Recent Filings
13F-HR2026-05-15 · 0000908195-26-000002
13F-HR2026-02-09 · 0000908195-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
818707
Trust Company Affiliate
No

People (13)

13
LEIT, STEPHEN, DAVID
IAR · Direct Owner · 37.5%
818707
SHUFRO, GREGORY, DAVID
IAR · Direct Owner · 17.5%
4718283
GLASS, STEVEN, JEFFREY
IAR · Direct Owner · 17.5%
1756153
CONTANT, JOHN, MARINUS
IAR · Direct Owner · 17.5%
2810876
KAMINSKY, Tonia
IAR · Direct Owner · 17.5%
4134855
WACHT, HARVEY
IAR · Direct Owner · 7.5%
456036
TARA NICHOLE HORNE
Executive Officer · 2.5%
6090958
BARBARA ELISE SILVERMAN
IAR
2663959
Anthony Trevor Santoloci
IAR
6016574
GERSON ROBERT OSSERS
IAR
6118195
Aimee Adler
IAR
7186177
Garrett Lawton Cole
IAR
7486697
LANCE CHRISTOPHER ARMENTA
IAR
7123848