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Rothman Investment Management LLC (RIM) and its representatives are in compliance with the current filing requirements placed upon a registered investment adviser firm and by those states in which RIM maintains clients. RIM may only transact business or render personalized investment advice in those states where it is registered/notice filed, or qualifies for an exemption or exclusion from registration requirements.

The views and information of the website herein has been provided for informational purposes only, and are not meant as investment advice, and represent the current good-faith views of the authors at the time of publication. These views are subject to change without notice of any kind, and RIM has no obligation to update material. The information on this website does not constitute an offer for products or services, or a solicitation of an offer to any persons outside of the U.S. who are prohibited from receiving such information under the laws applicable to their place of citizenship, domicile, or residence, and is not intended for distribution to, or use by, any person or entity in any registration requirement within such jurisdiction or country. No client or prospective client should assume that any such information on this website serves as the receipt of, or a substitute for, personalized advice from RIM.

All investments involve varying degrees of risk, and there can be no assurance that any specific investment will either be suitable or profitable for a client or prospective client’s investment portfolio. Past performance is not indicative of future results. No current or prospective client should assume that future performance of any specific investment, investment strategy or product made reference to directly or indirectly on this website or indirectly via a link to an unaffiliated third party website, will be profitable or equal the corresponding indicated performance levels. Additionally, the strategies and/or investments referenced may not be suitable for all investors as the appropriateness of a particular investment or strategy and will depend on an investor’s individual circumstances and objections.

A copy of RIM’s current form ADV 2A Brochure that includes a description of our services provided, fees charged and other important information, is available upon request. 

Disclaimers Relevant to Radio

Information presented on radio is believed to be factual and up-to-date, but we do not guarantee its accuracy, and it should not be regarded as a complete analysis of subjects discussed.  Discussions should not be construed as an offer to buy or sell, or a solicitation of an offer to buy or sell the investments discussed.  A professional advisor should be consulted before implementing any of the strategies discussed.  Investments involve varying degrees of risk, and there can be no assurance that any specific investment or strategy will be suitable or profitable for an investor's portfolio.  All investment strategies have the potential for profit or loss.  Always consult an attorney or tax professional regarding your specific legal or tax situation.

Rothman Investment Management, LLC, is registered as an investment advisor with the State of California and the Commonwealth of Massachusetts, and only transacts business in states where the firm is properly registered or exempted from registration requirements.  Registration as an investment advisor is not an endorsement of the firm by securities regulators and does not mean the the adviser has attained a particular level of skill or ability.

The advisor compensates the radio station for airing advertisements.