Rothman Investment Management, LLC

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Client assets under management

$74,743,700

Clients

131

25% high-net worth

Advisors

of 3 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

High

Average account size

$570,563

About

Rothman Investment Management provides portfolio management, comprehensive financial planning, consulting, and an ongoing financial coaching service to individual and high‑net‑worth clients as well as some charitable organizations. The firm manages about $104.6 million in client assets, operates with two advisors, and serves roughly 131 client relationships.

Its investment process is governed by individualized Investment Policy Statements and emphasizes a long‑term, multi‑strategy approach that blends quantitative ETFs, fundamental analysis, and modern portfolio theory with in‑house small‑cap value, dividend, and specialty allocations. The firm also deploys strategies that may include mutual funds, REITs, private equity and credit, and it uses options, inverse/leveraged ETFs and other derivatives for hedging and strategy implementation, including within separately managed accounts.

Noteworthy features relative to peers include the explicit use of derivatives and rule‑based hedging overlays in client accounts and the selective inclusion of non‑traded private capital funds and non‑traded REITs. The firm also makes limited use of a tax‑aware long/short third‑party manager for certain clients and offers a paid financial coaching program that provides implementation guidance separate from its investment management services.

Client services

Financial planning Portfolio management Newsletters or periodicals Educational seminars or workshops

Expertise

Private / alternative investments Options & derivatives strategies Concentrated stock management Wealth management

Occupation focus

Founder/Business Owner Executive

Fee options

Fixed

Comprehensive financial plan starts at $3,500; financial coaching $5,000 per year payable quarterly

Percentage

$0 - $1,000,000: 1.00%, subject to $3,000 annual minimum fee $1,000,001 - $5,000,000: 0.75% >$5,000,000+: 0.5%

Project-based

Financial planning hourly rate $400/hour; consulting hourly rates $400/hour (Jacob Rothman), $250/hour (Larson Patty)

Subscriptions

Financial coaching $5,000 per year, payable quarterly

Other

Minimum fee: $5,000 annual minimum fee for portfolio management services, applied quarterly at $1,250 per quarter Fee-only: Financial planning fees starting at $3,500, hourly rate $400/hour, consulting hourly rates $400/hour (Jacob Rothman) and $250/hour (Larson Patty), financial coaching $5,000 per year payable quarterly

Main office location

Rothman Investment Management, LLC

9700 El Camino Real, Suite 302

Atascadero CA 93422, United States

Number of offices

Most active in

California · Georgia · Massachusetts · Texas · Wyoming

Disclosures

Business activities & affiliations

Is not active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

LinkedIn Facebook Instagram Website (805) 286-6378

Advisors at this firm

Larson P

Series 65

Atascadero, CA

Rothman Investment Management, LLC

Larson Patty is a financial advisor at Rothman Investment Management, LLC with a Series 65 credential and three years of industry experience. Prior to joining Rothman Investment Management, Patty worked at Independent Financial for four years. In addition to advisory work, Patty holds a real estate license in Texas and occasionally earns commissions from assisting with real estate transactions. Rothman Investment Management provides discretionary portfolio management, financial planning, consulting, and financial coaching to individuals, high-net-worth clients, and charitable organizations. The firm uses quantitatively driven investment strategies combined with regular portfolio monitoring and tailors portfolios to client goals and risk tolerances.

Private / alternative investments Options & derivatives strategies Concentrated stock management Wealth management Founder/Business Owner Executive

Jacob R

CFP®, CFA®

Atascadero, CA

Rothman Investment Management, LLC

Jacob Rothman is a CFP® and CFA® with 11 years of industry experience. He has been with Rothman Investment Management, LLC since 2014. Outside of his advisory role, he serves as a board member for Sierra Vista Hospital, attending monthly meetings focused on safety, licensing, and community issues. Rothman Investment Management provides discretionary portfolio management, financial planning, consulting, and ongoing financial coaching to individuals, high-net-worth clients, and charitable organizations. The firm employs quantitatively driven investment strategies combined with regular portfolio monitoring and annual reviews, blending systematic ETF approaches with specialized allocations and a separate financial coaching service.

Private / alternative investments Options & derivatives strategies Concentrated stock management Wealth management Founder/Business Owner Executive

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