ROSENBAUM FINANCIAL, INC.
Legal name: ROSENBAUM FINANCIAL
CRD #173805 SEC #801-80682 PORTLAND, OR 503-352-1300
SEC Registered
Total AUM
$418.5M
Discretionary
$379.6M
Employees
10
Clients
1
Accounts
254
Firm Details
- Organization Type
- Corporation
- State of Formation
- Oregon
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 10, 2021
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BARRETTO, IVAN, BEAU LION | I | CHIEF COMPLIANCE OFFICER | NA | |
| BARRETTO, IVAN, BEAU LION | I | CHIEF COMPLIANCE OFFICER | NA | |
| BARRETTO, IVAN, BEAU LION | I | CHIEF COMPLIANCE OFFICER | NA | |
| BARRETTO, IVAN, BEAU LION | I | CHIEF COMPLIANCE OFFICER | NA | |
| BARRETTO, IVAN, BEAU LION | I | CHIEF COMPLIANCE OFFICER | NA | |
| BARRETTO, IVAN, BEAU LION | I | CHIEF COMPLIANCE OFFICER | NA | |
| BASDEN, JANA, GAY | I | CCO | NA | Control |
| BASDEN, JANA, GAY | I | VP INVESTMENTS AND PORTFOLIO MANAGEMENT | NA | Control |
| BASDEN, JANA, GAY | I | CCO | NA | Control |
| BASDEN, JANA, GAY | I | VP INVESTMENTS AND PORTFOLIO MANAGEMENT | NA | Control |
| CAMPBELL, MEGAN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | |
| CAMPBELL, MEGAN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | |
| CAMPBELL, MEGAN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | |
| CAMPBELL, MEGAN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | |
| DADDIO, ANDREW | I | CHIEF OPERATING OFFICER | NA | Control |
| DADDIO, ANDREW | I | CHIEF OPERATING OFFICER | NA | Control |
| DADDIO, ANDREW | I | CHIEF OPERATING OFFICER | NA | Control |
| DADDIO, ANDREW | I | CHIEF OPERATING OFFICER | NA | Control |
| DADDIO, ANDREW | I | CHIEF OPERATING OFFICER | NA | Control |
| DADDIO, ANDREW | I | CHIEF OPERATING OFFICER | NA | Control |
| DADDIO, ANDREW | I | CHIEF OPERATING OFFICER | NA | Control |
| DADDIO, ANDREW | I | CHIEF OPERATING OFFICER | NA | Control |
| FIALA, LAUREN, CATHERINE | I | CHIEF ADMINISTRATIVE OFFICER | NA | |
| FIALA, LAUREN, CATHERINE | I | CHIEF ADMINISTRATIVE OFFICER | NA | |
| FIALA, LAUREN, CATHERINE | I | CHIEF COMPLIANCE OFFICER AND CHIEF ADMINISTRATIVE OFFICER | NA | |
| FIALA, LAUREN, CATHERINE | I | CHIEF ADMINISTRATIVE OFFICER | NA | |
| FIALA, LAUREN, CATHERINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIALA, LAUREN, CATHERINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIALA, LAUREN, CATHERINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIALA, LAUREN, CATHERINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIALA, LAUREN, CATHERINE | I | CHIEF ADMINISTRATIVE OFFICER | NA | |
| FIALA, LAUREN, CATHERINE | I | CHIEF ADMINISTRATIVE OFFICER | NA | |
| FIALA, LAUREN, CATHERINE | I | CHIEF ADMINISTRATIVE OFFICER | NA | |
| FIALA, LAUREN, CATHERINE | I | CHIEF ADMINISTRATIVE OFFICER | NA | |
| FIALA, LAUREN, CATHERINE | I | CHIEF ADMINISTRATIVE OFFICER | NA | |
| MATTHIES, MEGAN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT AND SHAREHOLDER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT AND SHAREHOLDER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT AND SHAREHOLDER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT AND SHAREHOLDER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT AND SHAREHOLDER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT AND SHAREHOLDER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT AND SHAREHOLDER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT AND SHAREHOLDER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT AND SHAREHOLDER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT AND SHAREHOLDER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT AND SHAREHOLDER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT AND SHAREHOLDER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT AND SHAREHOLDER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT AND SHAREHOLDER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT AND SHAREHOLDER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT AND SHAREHOLDER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT AND SHAREHOLDER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT, SHAREHOLDER, CHIEF COMPLIANCE OFFICER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT AND SHAREHOLDER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT, SHAREHOLDER, CHIEF COMPLIANCE OFFICER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT, SHAREHOLDER, CHIEF COMPLIANCE OFFICER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT, SHAREHOLDER, CHIEF COMPLIANCE OFFICER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT, SHAREHOLDER, CHIEF COMPLIANCE OFFICER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT, SHAREHOLDER, CHIEF COMPLIANCE OFFICER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT, SHAREHOLDER, CHIEF COMPLIANCE OFFICER | E | Control |
| ROSENBAUM, MARK, PHILLIP | I | PRESIDENT, SHAREHOLDER, CHIEF COMPLIANCE OFFICER | E | Control |
| ROSENBERG, KIMBERLY, SUE | I | MANAING PRINCIPAL/SHAREHOLDER | B | |
| ROSENBERG, KIMBERLY, SUE | I | MANAGING PRINCIPAL/SHAREHOLDER | B | |
| ROSENBERG, KIMBERLY, SUE | I | MANAGING PRINCIPAL/SHAREHOLDER | B | |
| ROSENBERG, KIMBERLY, SUE | I | MANAGING PRINCIPAL/SHAREHOLDER | B | |
| ROSENBERG, KIMBERLY, SUE | I | MANAGING PRINCIPAL/SHAREHOLDER | B |
Registrations
Federal
IA
Jun 10, 2021 REGISTERED
Notice Filings (7)
CA HI OR TN TX UT WA
Address
150 SW HARRISON STREETSUITE 300
PORTLAND, OR 97201
United States
Phone: 503-352-1300