Shufro, Rose & Co., LLC

Shufro, Rose & Co., LLC (SRC) is an investment adviser founded in 1938 and converted to an LLC in 1997. The firm specializes in discretionary management of investment portfolios and is owned entirely by its working principals. SRC provides investment management and advisory services to individuals, high-net-worth individuals, trusts, retirement accounts, businesses, and charitable organizations on a discretionary and non-discretionary basis. Portfolio Managers meet with clients to discuss financial goals, risk tolerance, and investment objectives. The firm primarily invests in stocks, exchange-traded securities, closed-end funds, mutual funds, and fixed income securities. SRC may recommend college savings account plans and alternative private investment funds to qualified investors. The firm also offers financial planning services for a fee, covering various non-investment-related financial matters. SRC charges an annual investment advisory fee ranging from 0.65% to 1.50% based on Average Daily-adjusted Assets under Management. The firm does not charge performance-based fees and does not engage in soft dollar arrangements. SRC has implemented a Code of Ethics and best execution practices to ensure compliance with regulatory requirements. Clients have access to their portfolio holdings and activity through their custodial accounts. SRC primarily operates under discretionary investment management, with the option for non-discretionary asset management services. The firm does not vote on client securities and has no financial commitments impairing its ability to meet client obligations.