Rosenthal | Henry Capital Advisors, Inc.

Rosenthal | Henry Capital Advisors, Inc. is registered as an investment adviser with the Indiana securities division and provides discretionary portfolio management exclusively to three privately‑offered pooled investment funds for which it serves as general partner and investment adviser. It does not provide direct portfolio management for individual client accounts, and investors participate as limited partners subject to accredited/qualified investor requirements.

The funds seek current income and long‑term capital appreciation primarily through investments in publicly‑traded bank and thrift holding companies and insured depository institutions, generally U.S.-based, pursuing a long‑biased strategy that may include short positions, options, and limited leverage. Investment decisions combine quantitative financial modeling with qualitative due diligence—including management and board assessments, on‑site visits, and market analysis—with an emphasis on institutions that may be takeover candidates or operate in mid‑tier regional markets.

Distinctive features include the firm’s status as a private fund adviser and its combined role as general partner and manager of the pooled vehicles, a structure that is less common among similarly supported firms and that the brochure addresses through allocation policies and a Code of Ethics. The firm also discloses operational and investor considerations specific to closed private funds—such as illiquidity, the use of performance‑based compensation, leverage, and concentrated governance involvement by senior management—that prospective limited partners should evaluate.