Rossi Financial Associates, Inc.

Rossi Financial Associates provides investment advisory, stand-alone financial planning, and retirement plan consulting to a mix of individual clients (including high-net-worth individuals), pension and profit-sharing plans, business entities, trusts, estates and charitable organizations. Services are offered on both discretionary and non-discretionary bases and include ongoing portfolio monitoring and participant education for retirement plans.

The firm constructs portfolios using fundamental analysis across individual equities, fixed income, mutual funds and ETFs, and may recommend unaffiliated independent managers and SEI-sponsored strategies; it employs both long- and short-term purchase approaches. A noteworthy aspect of the firm’s practice is that a larger share of assets are managed non-discretionarily, and it provides pension consulting and institutional-style portfolio management for corporate and plan clients, which typically requires prior client consent for trades.

Rossi maintains an affiliation with the accounting firm Henry Rossi & Co., LLP and may recommend that firm for tax and accounting services, a relationship the brochure discloses as a potential conflict of interest. The firm also participates as an investment adviser in SEI-sponsored wrap and managed account programs and operates with custodial fee deduction and custody practices that are subject to annual surprise CPA examination, features that are less common among similarly sized independent advisers.