Stephen Mark Rosa
Investment Adviser Representative at Richmond Capital Management Inc
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Stephen Mark Rosa is an investment adviser representative with Richmond Capital Management Inc in Richmond, VA, where they have been registered since 2021, the year they entered the securities industry. They are registered to provide investment advice in Virginia.
Office
Advisors at this office: 5
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- E*tradeJan 2019 – Jan 2021Arlington, VA
- EvercoreNov 2016 – Dec 2018Washington, DC
- PricewaterhouseCoopers, LLPJan 2013 – Nov 2016Washington, DC
- Richmond Capital Management IncMar 2021 – no end date reportedRichmond, VA
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Richmond Capital Management Inc
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Performance-based fees
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Customized fixed-income portfolio management across strategies including Short Duration, Core Fixed Income, Core Fixed Plus, Total Return, and RCM Customized portfolios.
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 9
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Richmond, VA
- Founded:
- 1987
- SEC file number:
- 801-17534
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 26, 2026
View full firm profileOther advisors at Richmond Capital Management Inc
8 other advisors in the directory
Similar advisors in Richmond, VA
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Stephen Mark Rosa has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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