Roth Investment Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$11,446,000
Clients
42
12% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
42
HighAverage account size
$272,524
About
Roth Investment Management is a single-advisor independent investment adviser that offers discretionary asset management and investment consulting to individuals, trusts, retirement plans, and other legal entities. The firm provides ongoing portfolio management and periodic reviews of third‑party managed assets and is compensated through asset-based advisory fees.
The firm’s investment process is bottom-up, research-driven and value-oriented, with named strategies for opportunity, value, and income that typically result in concentrated portfolios (often on the order of single‑digit to mid‑teens holdings, and generally no more than about 25 positions) and a long-term holding bias. Some strategies explicitly use margin and derivatives—including covered call writing, buying protective puts, selling put options, and, in limited cases, short positions—to hedge or enhance returns, and the firm uses quantitative tools and third‑party software to support analysis.
Noteworthy for a solo independent adviser, the brochure discloses relatively small reported assets under management (about $3.99 million) combined with a willingness to employ leverage, option-selling and short strategies, and to hold a significant portion of the principals’ personal assets in the firm’s strategies. The firm also discloses it may pay for client referrals, recommends Interactive Brokers and Charles Schwab as custodians, and participates in institutional custodian programs that provide products and services to the firm.
Client services
Financial planning
Portfolio management
Selection of other advisers
Educational seminars for marketing purposes
Educational seminars for marketing purposes
Expertise
Active portfolio management
Options & derivatives strategies
Concentrated stock management
Fee options
$0 - $1,000,000: 1.00% $1,000,001 - $5,000,000: 0.85% $5,000,000+: 0.75%
Hourly fees billed for Investment Consulting Services, specific rates not stated.
Account minimum: $10,000
Main office location
Roth Investment Management, LLC
Weldon Spring MO, United States
Number of offices
1
Most active in
Roth Investment Management, LLC has reported serving >5 clients in these states in the last 12 months.
Illinois · Missouri · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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