Fees and Services
This summary is provided for convenience only. Clients should refer to Items 4 and 5 of Rothman Investment Management, LLC’s Form ADV Part 2A (“Firm Brochure”) and their applicable advisory agreement for complete details regarding services, fees, billing practices, and client responsibilities.
Portfolio Management (Assets Under Management)
Annual fee (tiered, marginal):
- First $1,000,000: 1.00%
- $1,000,001 – $5,000,000: 0.75%
- Above $5,000,000: 0.50%
Minimum annual fee: $3,500
Billing: Quarterly, in arrears
Description: Discretionary investment management based on client objectives, risk tolerance, and an Investment Policy Statement. Multiple accounts may be aggregated for fee calculation unless instructed otherwise.
Comprehensive Financial Planning
Fee: Starting at $3,500 (project-based or hourly)
Billing: As agreed, upon
Description: Stand-alone financial planning services. Fees vary based on scope and complexity and are set forth in a separate Financial Planning Agreement.
Financial Coaching
Fee: $5,000 per year
Billing: Quarterly
Description: Ongoing financial planning and coaching services without investment management. Includes plan updates, implementation guidance, and goal tracking.
Consulting (Hourly)
Fee:
- $350 per hour (Jacob Rothman)
- $200 per hour (Larson Patty)
Billing: As agreed, generally in arrears
Description: Business or personal financial consulting services provided under a Consulting Agreement.
Client Responsibility for Third-Party Fees
Clients are responsible for third-party fees that are separate from advisory fees, which may include the following:
| FEE TYPE | CHARGED | PAID TO |
| Brokerage commissions | Yes | Custodian |
| Mutual fund and ETF internal expenses | Yes | Fund sponsors |
| Custodial fees | Typically No | Custodian |
| Mark-ups or transaction charges | As applicable | Custodian |
*Rothman Investment Management does not receive compensation from these fees.
Additional Fee Disclosures
- Advisory fees are deducted from client accounts with written authorization or billed directly, at the client’s election.
- Fees are charged in arrears.
- Clients may terminate advisory agreements without penalty within five (5) business days of signing.
- Thereafter, termination requires 30 days’ written notice, and fees are prorated.
- Rothman Investment Management does not charge performance-based fees.