T. Rose & Associates, Inc.

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Client assets under management

$12,386,801

Clients

57% high-net worth

Advisors

of 2 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

Very Low

Average account size

$353,909

About

T. Rose & Associates, Inc. is a small, state‑registered investment adviser that provides discretionary portfolio management for individual clients — including high‑net‑worth and non‑HNW households — focusing on publicly traded equities, options and fixed‑income securities. The firm manages approximately $12 million for a limited client base and offers customized investment programs that can be documented by client investment policy statements.

The firm describes an individualized, quantitative approach that emphasizes hand‑picked securities and tailored strategies implemented through discretionary trading and regular account reviews. It also uses formal supervisory and continuing‑education procedures for its advisers and, where appropriate, employs sub‑advisory arrangements to support certain mandates.

Distinctive features disclosed in the brochure include serving as the managing member/general partner of a private fund and acting as adviser to select accredited members of that fund, a structure that the firm notes may give rise to conflicts of interest. The firm also participates in a sub‑advisory relationship related to a municipal core portfolio — an arrangement and institutional exposure that are uncommon for a two‑advisor firm managing a modest number of client accounts.

Client services

Financial planning Portfolio management

Expertise

Active portfolio management Options & derivatives strategies

Fee options

Percentage

$0+: 3.00% per annum (Aggressive Equity hedged strategy) $0+: 1.50-2.00% per annum (Equity/Balanced accounts) $0+: .75% per annum (Fixed income)

Other

Account minimum: $1,000,000

Main office location

T. Rose & Associates, Inc.

Mendota MN, United States

Number of offices

Most active in

Minnesota

Disclosures

Business activities & affiliations

Is active or affiliated with:

Fund sponsor

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

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.

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 Website 6123145629

Advisors at this firm

Timothy R

Series 63, Series 65

Mendota, MN

T. Rose & Associates, Inc.

Timothy Rose is a financial advisor at T. Rose & Associates, Inc. with 21 years of industry experience. He holds Series 63 and Series 65 designations and has been involved with T. Rose & Associates since 1991. In addition to his advisory role, he is associated with Second Derivative Capital LLC, a hedge fund focused on investment securities. T. Rose & Associates, Inc. is a small, state-registered investment adviser providing discretionary portfolio management for individual clients, including both high-net-worth and non-HNW households. The firm employs a quantitative approach with hand-picked securities and tailored strategies, managing approximately $12 million for a limited client base.

Active portfolio management Options & derivatives strategies

Daniel R

Series 66

Mendota, MN

T. Rose & Associates, Inc.

Daniel Rose is a Series 66-registered financial advisor with T. Rose & Associates, Inc. He has one year of industry experience, including roles at Equitable Advisors LLC and various positions outside the financial sector. Prior to his advisory career, he worked at the University of St. Thomas and Minnehaha Academy. T. Rose & Associates, Inc. is a small, state-registered investment adviser managing approximately $12 million for a limited client base. The firm provides discretionary portfolio management focused on publicly traded equities, options, and fixed-income securities, using a quantitative, individualized approach with tailored strategies and regular account reviews.

Active portfolio management Options & derivatives strategies

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