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ABOUT

Our Story

After nearly a decade serving on investment teams, Jake had three goals - to move back to California's gorgeous Central Coast, to start his own business and to help clients directly as they seek to build, protect and focus their wealth to live life to the fullest.  Applying the carpenter's rule of measure twice, cut once, Jake spent about ten months studying the industry and figuring out how to best add value for clients before opening for business in 2015. This study led to the belief that clients are best served by an independent, fee-based, fiduciary advisor.  Larson joined the firm in 2021 to help build a client-focused practice with a thoughtful approach to investing and an emphasis on financial planning.


Since our founding in 2015, Rothman Investment Management has helped over five dozen households with financial planning and investing.  We currently have clients in California, Massachusetts, Georgia, New Hampshire, New Jersey, New York, Virginia, Iowa, Texas and Florida.  Our story is not about us, but about our clients.  We strive to help them to accomplish their dreams and goals.


Our Mission

Is to guide clients to build, protect and focus their wealth to live their fullest life.


Fiduciary Oath


We shall exercise our best efforts to act in good faith and in the best interests of our clients. We shall provide written disclosure to our clients prior to the engagement, and thereafter throughout the term of the engagement, of any conflict of interest that will or reasonably may compromise our impartiality or independence.

We, or any party in which we have a financial interest, do not receive any compensation or other remuneration that is contingent on any client’s purchase or sale  of a financial product. We do not receive a fee or other compensation from another party based on the referral of a client or the client’s business.

What the Fiduciary Oath means to you — our client:

We shall always act in good faith and with candor. We shall be proactive in our disclosure of any conflicts of interest that may impact you.

We shall not accept any referral fees or compensation that is contingent upon the purchase or sale of a financial product.


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Community Involvement