AdvisorRanked
82
Some Concerns

ROTHSCHILD INVESTMENT

311 SOUTH WACKER DRIVE, CHICAGO, IL 60606-6677
commissionSEC Registered
312-983-8900 rothschildwealth.com/ CRD #728
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$2.8B
Assets Managed
19
Clients
39
Employees
55
Years Active
since 1971

Compensation Model

% of Assets (AUM)
Hourly Fees
Fixed / Flat Fees
Commissions
Performance Fees

Compensation type disclosed on SEC Form ADV Item 5C. Filed 46111. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.

Conflict of Interest Analysis

Broker-Dealer Affiliated: Yes

This firm is affiliated with a broker-dealer, which means they may earn commissions on product sales — creating a potential conflict between their revenue and your best interest.

Insurance Licensed: No

Not insurance licensed. Cannot sell you annuity or insurance products directly.

Custody of Client Assets: Yes

This firm has direct custody of client assets, rather than using an independent custodian. This is a higher-risk arrangement that requires additional regulatory safeguards.

Proprietary Products: No

Uses only third-party investment products. No proprietary product conflicts.

Regulatory & Disciplinary History

complaint46111

1 customer complaint(s)/arbitration(s) disclosed on Form ADV Item 11.

Resolved

Total complaints on record: 1

Complaint ratio: 5.26 per 100 clients

Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.

Firm Details

Legal NameROTHSCHILD INVESTMENT
CRD Number#728
SEC RegisteredYes
Registration Date1971-05-30
States RegisteredIL
Assets Under Management$2.8B
Number of Clients19
Employees39
Compensation Typecommission
Last ADV Filing46111

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Frequently Asked Questions

Is ROTHSCHILD INVESTMENT a fiduciary?

No. ROTHSCHILD INVESTMENT is not registered as an RIA and is not legally bound by the fiduciary standard.

How does ROTHSCHILD INVESTMENT charge clients?

ROTHSCHILD INVESTMENT uses a commission compensation model. They also earn commissions on product sales, which may create conflicts of interest. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.

Does ROTHSCHILD INVESTMENT have any complaints?

Yes. ROTHSCHILD INVESTMENT has 1 complaint(s) on record. Their complaint ratio is 5.26 per 100 clients (industry average: ~0.15).

How does ROTHSCHILD INVESTMENT compare to other advisors in CHICAGO?

ROTHSCHILD INVESTMENT has a Red Flag Score of 82/100. There are 367 registered advisory firms in CHICAGO. Use our city page to compare firms side by side.

Where does this data come from?

All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.

Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46111. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.