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ROTHSCHILD INVESTMENT LLC — 13F Holdings & Portfolio

CIK 85338 · latest 13F-HR filed 2026-08-06

Backtest portfolio

ROTHSCHILD INVESTMENT LLC manages $2.68B in 13F-reported U.S. long-equity assets across 3,636 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are AAPL (3.65%), NVDA (3.62%), GOOGL (2.54%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 153 new positions and exited 122; 2,467 existing positions rose in reported value and 637 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

Loading holdings…
AUM
$2.68B

Long-equity book

Holdings
3,636

Distinct positions

Period
2026-06-30

Filed 2026-08-06

Q/Q Activity
+153 / −122 / ↑2467 / ↓637

vs 2026-03-31

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q2 26
AAPL3.6% · +28%NVDA3.6% · +17%GOOGL2.5% · +10%JPM2.0% · +12%AMZN1.5% · +20%GOOG1.5% · +26%MSFT1.4% · +30%PRF1.3% · +2%BRK.B1.3% · +8%PANW1.2% · +24%ABBV1.2% · +16%BX1.1% · +17%COST1.0% · +38%AVUV1.0% · +11%CGDG1.0% · +3%JNJ0.9% · -1%CAT0.9% · -2%SYLD0.9% · +6%CVX0.8% · +24%FYLD0.8% · +4%AMD0.8% · -10%AMGN0.8% · +2%SPY0.8% · -1%MRVL0.8% · -11%JEPI0.8% · +4%GE0.8% · +12%XOM0.8% · +5%VIG0.8% · +1%AVGO0.7% · +23%META0.7% · +10%LLY0.7% · +51%CSCO0.7% · -0%GD0.6% · +23%CGGO0.6% · +10%BBIN0.6% · +13%CGDV0.6% · +16%V0.6% · +52%TMO0.6% · +17%IGSB0.6% · +21%JEPQ0.5% · +5%VOO0.5% · +4%MU0.5% · +77%PAVE0.5% · +1%HD0.5% · +35%SYK0.5% · +36%MRK0.5% · -0%QCOM0.5% · +1%NFLX0.5% · +2%STX0.5% · +28%ORCL0.4% · +5%DLR0.4% · +9%PSX0.4% · +26%AIG0.4% · +12%RSP0.4% · +9%SO0.4% · +10%CMI0.4% · +25%IGV0.4% · +1%UNP0.4% · -0%IBM0.4% · +33%NUE0.3% · -0%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q1 26 → Q2 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

3 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 20.1%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Mar 30, 2026.

Assets Under Management
$2.79B
Discretionary
$2.79B
Employees
39
Accounts
2,831
Address
311 SOUTH WACKER DRIVE
SUITE 5900
CHICAGO, IL 60606-6677
Phone
(312) 983-8900
Website
This firm reports 8 disclosure items on its registration.
Name Title / Status Ownership Type
SOLOMON, JOEL EDWARD ControlMEMBER, OFFICER
since Oct 2022
Less than 5%Individual
ELLERGODT, CURTIS ROBERTFINOP
since Dec 2023
Less than 5%Individual
FRANKE, JAMES ALLYNMEMBER, OFFICER
since Sep 2023
Less than 5%Individual
JOHNSON, PHILLIP EUGENEMEMBER, PRESIDENT
since Sep 2023
Less than 5%Individual
LENART, BRIAN DOUGLASCCO/AMLCO
since Jan 2024
Less than 5%Individual
ROTHSCHILD HOLDINGS, LLCOWNER
since Nov 2023
75% or moreDomestic Entity
TIN GOOSE HOLDINGS, LLC
Indirect owner via ROTHSCHILD HOLDINGS, LLC
SOLE OWNER
since Nov 2023
75% or moreDomestic Entity
Ownership & leadership changes · 8 filings with changes since Mar 29, 2012

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

Apr 25, 2025 filing
  • AddedTIN GOOSE HOLDINGS, LLC · SOLE OWNER · 75% or more · indirect via ROTHSCHILD HOLDINGS, LLC
Mar 27, 2024 filing
  • No longer listedDRAKE, BRADLEY CHARLES · OFFICER, CCO · Less than 5% · control person · listed since Oct 2022
  • No longer listedGERINGER, PAUL EDWARD · OFFICER · Less than 5% · control person · listed since Oct 2022
  • No longer listedKARGER, RICHARD FOREMAN · OFFICER · Less than 5% · control person · listed since Oct 2022
  • No longer listedTIN GOOSE HOLDINGS LLC · OWNER · 75% or more · listed since Oct 2022
  • AddedELLERGODT, CURTIS ROBERT · FINOP · Less than 5%
  • AddedFRANKE, JAMES ALLYN · MEMBER, OFFICER · Less than 5%
  • AddedJOHNSON, PHILLIP EUGENE · MEMBER, PRESIDENT · Less than 5%
  • AddedLENART, BRIAN DOUGLAS · CCO/AMLCO · Less than 5%
  • AddedROTHSCHILD HOLDINGS, LLC · OWNER · 75% or more
  • ChangedSOLOMON, JOEL EDWARD · ownership 5–10% → Less than 5%
Nov 21, 2022 filing
  • No longer listedBONGA, BART RICHARD · PRESIDENT · 5–10% · control person · listed since Sep 2015
  • AddedTIN GOOSE HOLDINGS LLC · OWNER · 75% or more
  • ChangedDRAKE, BRADLEY CHARLES · title EXECUTIVE VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / ROSFP/ DIRECTOR, CFO → OFFICER, CCO
  • ChangedGERINGER, PAUL EDWARD · title EXECUTIVE VP/ DIRECTOR → OFFICER
  • ChangedKARGER, RICHARD FOREMAN · title CHAIRMAN, CHIEF EXC. OFFICER, DIRECTOR → OFFICER; ownership 50–75% → Less than 5%
  • ChangedSOLOMON, JOEL EDWARD · title EXECUTIVE VICE PRESIDENT / SECRETARY/ROSFP → MEMBER, OFFICER
Mar 30, 2022 filing
  • No longer listedSTEINER, ROBERT MELVIN · EXECUTIVE VICE PRESIDENT · Less than 5% · control person · listed since Jun 1998
Sep 3, 2015 filing
  • ChangedBONGA, BART RICHARD · title EXECUTIVE VICE PRESIDENT → PRESIDENT
  • ChangedKARGER, RICHARD FOREMAN · title CHAIRMAN, CHIEF EXC. OFFICER / PRESIDENT, DIRECTOR → CHAIRMAN, CHIEF EXC. OFFICER, DIRECTOR
Mar 27, 2015 filing
  • No longer listedBONGA, DALE RICHARD · EXEC. VP, · Less than 5% · control person · listed since Apr 2005
  • ChangedBONGA, BART RICHARD · ownership Less than 5% → 5–10%
Oct 29, 2014 filing
  • ChangedBONGA, BART RICHARD · title VICE PRESIDENT → EXECUTIVE VICE PRESIDENT
  • ChangedDRAKE, BRADLEY CHARLES · title VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / ROSFP/ DIRECTOR, CFO → EXECUTIVE VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / ROSFP/ DIRECTOR, CFO
  • ChangedSOLOMON, JOEL EDWARD · title VICE PRESIDENT / SECRETARY/ROSFP → EXECUTIVE VICE PRESIDENT / SECRETARY/ROSFP
Mar 28, 2013 filing
  • ChangedBONGA, DALE RICHARD · ownership 5–10% → Less than 5%
  • ChangedGERINGER, PAUL EDWARD · ownership 5–10% → Less than 5%
Mar 29, 2012 filing (earliest on record)
  • ListedBONGA, BART RICHARD · VICE PRESIDENT · Less than 5% · control person
  • ListedBONGA, DALE RICHARD · EXEC. VP, · 5–10% · control person
  • ListedDRAKE, BRADLEY CHARLES · VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / ROSFP/ DIRECTOR, CFO · Less than 5% · control person
  • ListedGERINGER, PAUL EDWARD · EXECUTIVE VP/ DIRECTOR · 5–10% · control person
  • ListedKARGER, RICHARD FOREMAN · CHAIRMAN, CHIEF EXC. OFFICER / PRESIDENT, DIRECTOR · 50–75% · control person
  • ListedSOLOMON, JOEL EDWARD · VICE PRESIDENT / SECRETARY/ROSFP · 5–10% · control person
  • ListedSTEINER, ROBERT MELVIN · EXECUTIVE VICE PRESIDENT · Less than 5% · control person

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

ROTHSCHILD INVESTMENT LLC Holdings (2026-06-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 APPLE INC COM AAPL 037833100 $97.7M 3.65% 337,494 SH
2 NVIDIA CORPORATION COM NVDA 67066G104 $96.9M 3.62% 484,103 SH
3 ALPHABET INC CAP STK CL A GOOGL 02079K305 $67.9M 2.54% 190,103 SH
4 JPMORGAN CHASE & CO COM JPM 46625H100 $52.2M 1.95% 159,525 SH
5 AMAZON COM INC COM AMZN 023135106 $41.3M 1.54% 173,367 SH
6 ALPHABET INC CAP STK CL C GOOG 02079K107 $40.5M 1.51% 114,712 SH
7 MICROSOFT CORP COM MSFT 594918104 $38.2M 1.43% 102,397 SH
8 INVESCO RAFI US 1000 ETF PRF 46137V613 $35.5M 1.33% 656,475 SH
9 BERKSHIRE HATHAWAY INC DEL CL B NEW BRK.B 084670702 $34.1M 1.27% 68,150 SH
10 PALO ALTO NETWORKS INC COM PANW 697435105 $32.7M 1.22% 95,932 SH
11 ABBVIE INC COM ABBV 00287Y109 $30.8M 1.15% 122,435 SH
12 BLACKSTONE INC COM BX 09260D107 $28.3M 1.06% 240,474 SH
13 COSTCO WHOLESALE CORPORATION COM COST 22160K105 $27.0M 1.01% 28,910 SH
14 AVANTIS U.S. SMALL CAP VALUE ETF AVUV 025072877 $26.5M 0.99% 212,533 SH
15 CAPITAL GROUP DIVIDEND GROWERS ETF CGDG 14021L109 $25.6M 0.96% 682,462 SH
16 JOHNSON & JOHNSON COM JNJ 478160104 $24.6M 0.92% 96,818 SH
17 CATERPILLAR INC COM CAT 149123101 $23.8M 0.89% 22,368 SH
18 CAMBRIA SHAREHOLDER YIELD ETF SYLD 132061201 $23.0M 0.86% 290,441 SH
19 CHEVRON CORPORATION COM CVX 166764100 $22.3M 0.83% 134,721 SH
20 CAMBRIA FOREIGN SHAREHOLDER YIELD ETF FYLD 132061300 $22.1M 0.82% 604,453 SH
21 ADVANCED MICRO DEVICES INC COM AMD 007903107 $21.6M 0.81% 37,165 SH
22 AMGEN INC COM AMGN 031162100 $21.4M 0.80% 59,073 SH
23 STATE STREET SPDR S&P 500 ETF SPY 78462F103 $21.2M 0.79% 28,407 SH
24 MARVELL TECHNOLOGY INC COM MRVL 573874104 $20.7M 0.77% 69,497 SH
25 JPMORGAN EQUITY PREMIUM INCOME ETF JEPI 46641Q332 $20.6M 0.77% 364,432 SH
26 GE AEROSPACE COM NEW GE 369604301 $20.6M 0.77% 55,075 SH
27 EXXONMOBIL HOLDINGS CORP COM SHS XOM 30233Q108 $20.4M 0.76% 149,044 SH
28 VANGUARD DIVIDEND APPRECIATION ETF VIG 921908844 $20.3M 0.76% 85,747 SH
29 BROADCOM INC COM AVGO 11135F101 $19.8M 0.74% 52,535 SH
30 META PLATFORMS INC CL A META 30303M102 $18.9M 0.71% 33,506 SH
31 ELI LILLY & CO COM LLY 532457108 $18.9M 0.70% 15,725 SH
32 CISCO SYS INC COM CSCO 17275R102 $17.8M 0.66% 151,415 SH
33 GENERAL DYNAMICS CORP COM GD 369550108 $17.4M 0.65% 49,051 SH
34 CAPITAL GROUP GLOBAL GROWTH EQUITY ETF CGGO 14020X104 $17.2M 0.64% 406,399 SH
35 JPMORGAN BETABUILDERS INTERNATIONAL EQUITY ETF BBIN 46641Q373 $17.2M 0.64% 220,104 SH
36 CAPITAL GROUP DIVIDEND VALUE ETF CGDV 14020W106 $16.7M 0.62% 338,843 SH
37 VISA INC COM CL A V 92826C839 $16.6M 0.62% 48,495 SH
38 THERMO FISHER SCIENTIFIC INC COM TMO 883556102 $15.1M 0.56% 30,021 SH
39 ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF IGSB 464288646 $14.7M 0.55% 280,681 SH
40 JPMORGAN NASDAQ EQUITY PREMIUM INCOME ETF JEPQ 46654Q203 $13.7M 0.51% 222,830 SH
41 VANGUARD S&P 500 ETF VOO 922908363 $13.2M 0.49% 19,221 SH
42 MICRON TECHNOLOGY INC COM MU 595112103 $12.8M 0.48% 11,065 SH
43 GLOBAL X U.S. INFRASTRUCTURE DEVELOPMENT ETF PAVE 37954Y673 $12.7M 0.47% 214,811 SH
44 HOME DEPOT INC COM HD 437076102 $12.6M 0.47% 35,713 SH
45 STRYKER CORPORATION COM SYK 863667101 $12.4M 0.46% 39,507 SH
46 MERCK & CO INC COM MRK 58933Y105 $12.4M 0.46% 96,633 SH
47 QUALCOMM INC COM QCOM 747525103 $12.4M 0.46% 67,001 SH
48 NETFLIX INC. COM NFLX 64110L106 $12.4M 0.46% 173,169 SH
49 SEAGATE TECHNOLOGY HLDNGS PLC ORD SHS STX G7997R103 $12.1M 0.45% 12,576 SH
50 ORACLE CORP COM ORCL 68389X105 $11.6M 0.43% 78,943 SH
Filing History
Period Filed AUM Holdings Accession
2026-06-30 2026-08-06 $2.68B 3,636 0001104659-26-091729
2026-03-31 2026-05-07 $1.91B 3,605 0001104659-26-056790
2025-12-31 2026-02-10 $1.82B 3,428 0001104659-26-012215
Filer Information
Address
311 S. WACKER DRIVE
SUITE 5900
CHICAGO, IL 60606-6618
Phone
(708) 624-1982
Filing Manager
ROTHSCHILD INVESTMENT LLC
CHICAGO, IL
Signatory
Curtis Ellergodt
CFO