# SHUFRO, ROSE & CO., LLC

SHUFRO, ROSE & CO., LLC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 3403
- Type: SEC-registered investment adviser
- SEC file number: 801-977
- Location: 600 LEXINGTON AVENUE, 15TH FLOOR, NEW YORK, NY, 10022
- Phone: 212-754-5100
- Latest filing: 2026-04-21
- Regulatory AUM: $2.5B
- Discretionary AUM: $2.4B
- Non-discretionary AUM: $58.0M
- Clients: 27
- Accounts: 3,009

## Business model

- Compensation: % of AUM, Fixed
- Clients served: Individuals, High net worth, Charities

## Officers, owners & control persons (23)

| Name | Role | Location |
| --- | --- | --- |
| Steven Jeffrey Glass | PRINCIPAL AND SENIOR FINANCIAL ADVISOR | — |
| Gregory David Shufro | PRINCIPAL AND SENIOR FINANCIAL ADVISOR | — |
| Tara Nichole Horne | CHIEF COMPLIANCE OFFICER | — |
| Stephen David Leit | PRINCIPAL AND SENIOR FINANCIAL ADVISOR | — |
| John Marinus Contant | PRINCIPAL AND SENIOR FINANCIAL ADVISOR | — |
| Harvey Wacht | PRINCIPAL AND SENIOR FINANCIAL ADVISOR | — |
| Tonia Kaminsky | PRINCIPAL AND SENIOR FINANCIAL ADVISOR | — |
| WILKENS JOHN ALAN | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | — |
| WEISS MARTIN DAVID | MANAGING DIRECTOR; SENIOR MANAGING DIRECTOR | — |
| EDWARDS BENJAMIN FRANKLIN IV | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, AML- CO, GENERAL COUNSEL | — |
| ROSE THOMAS JOHN | MANAGING DIRECTOR; SENIOR MANAGING DIRECTOR | — |
| GLASS STEVEN JEFFREY | MANAGING DIRECTOR; PRINCIPAL AND SENIOR FINANCIAL ADVISOR; SENIOR MANAGING DIRECTOR (+2 more) | — |
| LEIT STEPHEN DAVID | MANAGING DIRECTOR; PRINCIPAL AND SENIOR FINANCIAL ADVISOR; SENIOR MANAGING DIRECTOR | — |
| SHUFRO EDWARD GEORGE | MANAGING DIRECTOR; SENIOR MANAGING DIRECTOR, CEO; SENIOR MANAGING DIRECTOR EMERITUS (+1 more) | — |
| WACHT HARVEY | PRINCIPAL AND SENIOR FINANCIAL ADVISOR; SENIOR MANAGING DIRECTOR | — |
| MOY HARVEY W | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, BOMROP | — |
| CONTANT JOHN MARINUS | PRINCIPAL AND SENIOR FINANCIAL ADVISOR; SENIOR MANAGING DIRECTOR | — |
| SHUFRO SALWYN | MANAGING DIRECTOR | — |
| SHUFRO GREGORY DAVID | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER , AML-CO, SENIOR MANAGING DIRECTOR; PRINCIPAL AND SENIOR FINANCIAL ADVISOR (+1 more) | — |
| KAMINSKY TONIA | PRINCIPAL AND SENIOR FINANCIAL ADVISOR; SENIOR MANAGING DIRECTOR | — |
| EDWARDS MYLES JOSHUA | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER &  GENERAL COUNSEL | — |
| ARYA VIBHAW KUMAR | CHIEF OPERATING OFFICER; HEAD OF OPERATIONS AND INFORMATION TECHNOLOGY | — |
| HORNE TARA NICHOLE | CHIEF COMPLIANCE OFFICER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/3403/brochure
- Similar advisers: https://search.stillhousedata.com/firm/3403/similar
- Related entities: https://search.stillhousedata.com/firm/3403/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/3403

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.