“As an advisor, I knew my first client would be my father…
I couldn’t imagine investing his retirement in life insurance or brokerage products just because they paid me the highest commission. This is when I knew I needed to be independent.”
–Matt Rosenberg, 2011
RoseCap Investment Advisors was founded on March 8, 2011, by Matthew H. Rosenberg, in Denver, CO.
Starting a small business while also supporting a family proved to be financially difficult. So he moved to Grand Junction, Colorado, to teach finance and accounting at Colorado Mesa University while simultaneously working as an investment advisor at RoseCap. Teaching provided the income he needed to take care of his family while also trying to grow a business.
After one year of business, Matt had less than two million in assets under management and only a few clients. Like small business owners do, he only worked harder… six-years later with over 200 clients and approximately $65MM in assets managed, Matt resigned from teaching at CMU to focus on RoseCap exclusively. Less than a year after leaving CMU, RoseCap had over $100MM in assets managed.
RoseCap’s better business model
Comprehensive Financial Services
Code of Ethics & Firm Values
RoseCap has compiled a set of firm values that set the tone for how we do business and interact with our clients. We have also adopted ethics codes and standards, that we believe are among the highest in the investment industry. These include the CFA Institute’s Code of Ethics and Standards of Professional Conduct, the Daniels Fund Code of Ethics, and the Asset Manager Code of Professional Conduct.
However, we believe that having ethics in a company is more than just adopting codes, writing procedures, and having employees watch 15-minute videos. Ethics requires aligning everything in our business with our ethics code. This includes how we pay employees, how RoseCap gets paid by clients, and how we provide advisory services to those trusting us to be looking out for them.