ROTHSCHILD INVESTMENT CORP

HTTPS://WWW.ROTHSCHILDINV.COM CHICAGO, IL Investment Advisor How do I update this listing?

Rothschild Investment Corp is based out of Chicago. Rothschild Investment Corp is a large advisory firm with 1276 clients and discretionary assets under management (AUM) of $1,072,227,772 (Form ADV from 2019-03-29). Their last reported 13F filing for Q3 2019 included $857,422,000 in managed 13F securities and a top 10 holdings concentration of 19.01%. Rothschild Investment Corp's largest holding is Apple Inc with shares held of 119,025. Rothschild Investment Corp has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 78 13F filings

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68

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $857.422 Million
  • Prior Market Value $847.619 Million
  • New Purchases18 stocks
  • Additional Purchases133 stocks
  • Sold out of19 stocks
  • Reduced holdings in119 stocks
  • Top 10 Holdings % 19.01 %
  • Turnover % [1]:9.64%
  • Turnover Alt % [2]: 4.46 %
  • Time Held Top20:14.50 quarters
  • Time Held Top10:14.60 quarters
  • Time Held All:26.55 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -1.2%
Performance Last 4 Quarters: -4.42%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR/A (Subscription required)
  • 2005-12-31 - 13F-HR/A (Subscription required)
  • 2005-09-30 - 13F-HR/A (Subscription required)
  • 2005-06-30 - 13F-HR/A (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-09-30 - 13F-HR (Subscription required)
  • 2003-06-30 - 13F-HR (Subscription required)
  • 2003-03-31 - 13F-HR (Subscription required)
  • 2002-12-31 - 13F-HR (Subscription required)
  • 2002-09-30 - 13F-HR (Subscription required)
  • 2002-06-30 - 13F-HR (Subscription required)
  • 2002-03-31 - 13F-HR (Subscription required)
  • 2001-12-31 - 13F-HR (Subscription required)
  • 2001-09-30 - 13F-HR (Subscription required)
  • 2001-06-30 - 13F-HR (Subscription required)
  • 2001-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

ROTHSCHILD INVESTMENT CORPORATION
Classified as Hedge Fund
311 SOUTH WACKER DRIVE SUITE 6500
CHICAGO IL    60606
Country: United States

Business Phone: 312-983-8900
Fax: 312-983-8959
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: DE
Number of employees: 35
Other Business Activities: broker-dealer
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,Commissions
Amount of client funds and securities: 152,000,000
Total Number of Clients: 1276
Amount of client funds and securities by related persons: 152,000,000
Total Number of clients from related persons: 165
Disclosures: 11.D (2),11.D (4),11.D (5),11.E (2),11.E (4)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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ROTHSCHILD INVESTMENT CORPORATION

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
KARGER, RICHARD FOREMAN CHAIRMAN, CHIEF EXC. OFFICER, DIRECTOR 10/01/2003 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ROTHSCHILD INVESTMENT CORPORATION CHAIRMAN, CHIEF EXC. OFFICER, DIRECTOR direct 2003-10-01
ROTHSCHILD INVESTMENT CORPORATION PRESIDENT, CHAIRMAN, DIRECTOR direct 1998-06-01 2002-05-31
ROTHSCHILD INVESTMENT CORPORATION CHAIRMAN, CHIEF EXC. OFFICER, DIRECTOR direct 2002-07-01 2003-07-17
ROTHSCHILD INVESTMENT CORPORATION CHAIRMAN, CHIEF EXC. OFFICER / PRESIDENT, DIRECTOR direct 2003-10-01 2015-03-27
GERINGER, PAUL EDWARD EXECUTIVE VP/ DIRECTOR 06/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROTHSCHILD INVESTMENT CORPORATION EXECUTIVE VP/ DIRECTOR direct 1998-06-01
STEINER, ROBERT MELVIN EXECUTIVE VICE PRESIDENT 06/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROTHSCHILD INVESTMENT CORPORATION EXECUTIVE VICE PRESIDENT direct 1998-06-01
DRAKE, BRADLEY CHARLES EXECUTIVE VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / ROSFP/ DIRECTOR, CFO 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT / CHIEF COMPLIANCE OFFICER direct 2003-04-01
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER direct 2003-10-01
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / CROP direct 2003-10-01
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / CROP SROP direct 2005-04-01
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / CROP SROP/ DIRECTOR direct 2006-06-01
ROTHSCHILD INVESTMENT CORPORATION EXECUTIVE VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / ROSFP/ DIRECTOR, CFO direct 2007-06-01
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / ROSFP/ DIRECTOR, CFO direct 2007-06-01
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / CROP SROP/ DIRECTOR, AML COMPLIANCE OFFICER, CFO direct 2007-06-01
ROTHSCHILD INVESTMENT CORPORATION EXECUTIVE VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / ROSFP/ DIRECTOR, CFO direct 2014-10-01
SOLOMON, JOEL EDWARD EXECUTIVE VICE PRESIDENT / SECRETARY/ROSFP 10/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT / SECRETARY direct 2007-06-01
ROTHSCHILD INVESTMENT CORPORATION EXECUTIVE VICE PRESIDENT / SECRETARY/ROSFP direct 2007-06-01
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT / SECRETARY/ROSFP direct 2007-06-01
ROTHSCHILD INVESTMENT CORPORATION EXECUTIVE VICE PRESIDENT / SECRETARY/ROSFP direct 2014-10-01
BONGA, BART RICHARD PRESIDENT 09/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT direct 2010-12-01
ROTHSCHILD INVESTMENT CORPORATION EXECUTIVE VICE PRESIDENT direct 2010-12-01
ROTHSCHILD INVESTMENT CORPORATION PRESIDENT direct 2015-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
THOMAS PAINE INVESTORS United States 805-7519281765 Other Private Fund LIMITED PARTNERSHIP 73,130,629 1,000,000

ROTHSCHILD INVESTMENT CORPORATION

ownership team - last updated 2017-03-28
Name Title Start Date Direct/Indirect % Ownership
KARGER, RICHARD FOREMAN CHAIRMAN, CHIEF EXC. OFFICER, DIRECTOR 10/01/2003 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ROTHSCHILD INVESTMENT CORPORATION CHAIRMAN, CHIEF EXC. OFFICER, DIRECTOR direct 2003-10-01
ROTHSCHILD INVESTMENT CORPORATION PRESIDENT, CHAIRMAN, DIRECTOR direct 1998-06-01 2002-05-31
ROTHSCHILD INVESTMENT CORPORATION CHAIRMAN, CHIEF EXC. OFFICER, DIRECTOR direct 2002-07-01 2003-07-17
ROTHSCHILD INVESTMENT CORPORATION CHAIRMAN, CHIEF EXC. OFFICER / PRESIDENT, DIRECTOR direct 2003-10-01 2015-03-27
GERINGER, PAUL EDWARD EXECUTIVE VP/ DIRECTOR 06/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROTHSCHILD INVESTMENT CORPORATION EXECUTIVE VP/ DIRECTOR direct 1998-06-01
STEINER, ROBERT MELVIN EXECUTIVE VICE PRESIDENT 06/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROTHSCHILD INVESTMENT CORPORATION EXECUTIVE VICE PRESIDENT direct 1998-06-01
DRAKE, BRADLEY CHARLES EXECUTIVE VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / ROSFP/ DIRECTOR, CFO 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT / CHIEF COMPLIANCE OFFICER direct 2003-04-01
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER direct 2003-10-01
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / CROP direct 2003-10-01
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / CROP SROP direct 2005-04-01
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / CROP SROP/ DIRECTOR direct 2006-06-01
ROTHSCHILD INVESTMENT CORPORATION EXECUTIVE VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / ROSFP/ DIRECTOR, CFO direct 2007-06-01
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / ROSFP/ DIRECTOR, CFO direct 2007-06-01
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / CROP SROP/ DIRECTOR, AML COMPLIANCE OFFICER, CFO direct 2007-06-01
ROTHSCHILD INVESTMENT CORPORATION EXECUTIVE VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / ROSFP/ DIRECTOR, CFO direct 2014-10-01
SOLOMON, JOEL EDWARD EXECUTIVE VICE PRESIDENT / SECRETARY/ROSFP 10/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT / SECRETARY direct 2007-06-01
ROTHSCHILD INVESTMENT CORPORATION EXECUTIVE VICE PRESIDENT / SECRETARY/ROSFP direct 2007-06-01
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT / SECRETARY/ROSFP direct 2007-06-01
ROTHSCHILD INVESTMENT CORPORATION EXECUTIVE VICE PRESIDENT / SECRETARY/ROSFP direct 2014-10-01
BONGA, BART RICHARD PRESIDENT 09/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ROTHSCHILD INVESTMENT CORPORATION VICE PRESIDENT direct 2010-12-01
ROTHSCHILD INVESTMENT CORPORATION EXECUTIVE VICE PRESIDENT direct 2010-12-01
ROTHSCHILD INVESTMENT CORPORATION PRESIDENT direct 2015-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
THOMAS PAINE INVESTORS United States 805-7519281765 Other Private Fund LIMITED PARTNERSHIP 67,607,517 1,000,000

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