# Shummi Jindal

> Shummi Jindal is a fee-only financial advisor at Rose Capital Advisors in Plandome, New York. Shummi focuses on retirement planning, estate & legacy planning and tax planning. Rose Capital Advisors reports charging a percentage of assets, hourly fees, fixed fees and performance-based fees on its Form ADV.

Page: https://find.wellspent.co/advisors/shummi-jindal/
Built from SEC adviser records and the firm's website; last checked October 30, 2026.

## Facts

- **Firm:** Rose Capital Advisors
- **Based in:** Plandome, New York
- **Fee model (firm's Form ADV):** Percentage of assets; Hourly; Fixed fees; Performance-based fees
- **Assets under management (firm):** $608.3M across 917 accounts
- **Specialties:** Retirement planning, Estate & legacy planning, Tax planning, Family wealth transfer
- **CRD:** 4870159 (https://adviserinfo.sec.gov/individual/summary/4870159)
- **SEC registration:** Investment adviser representative in NY
- **Exams passed:** Series 65 (2026)
- **Firm size:** 14 employees
- **Disclosures:** None reported
- **Website:** http://www.rosecapitaladvisors.com

## Frequently asked questions

### Is Shummi Jindal a fee-only financial advisor?

Yes, according to SEC records as of October 29, 2026: Shummi holds no broker registration, and Rose Capital Advisors reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency on its Form ADV.

### How does Shummi charge for financial advice?

Shummi's firm, Rose Capital Advisors, reports charging a percentage of assets, hourly fees, fixed fees and performance-based fees on its SEC Form ADV.

### Where is Shummi Jindal based?

Shummi Jindal is based in Plandome, New York.

### What does Shummi specialize in?

Shummi's specialties include retirement planning, estate & legacy planning, tax planning and family wealth transfer.

### Is Shummi Jindal registered with the SEC?

Yes. Shummi Jindal is registered as an investment adviser representative in NY (CRD 4870159), per SEC Investment Adviser Public Disclosure data as of October 29, 2026.

### How much does Rose Capital Advisors manage?

Rose Capital Advisors reports $608.3M across 917 accounts in assets under management.

### How do I contact Shummi Jindal?

Through Shummi's website, www.rosecapitaladvisors.com.

## Sources

- SEC adviser records (https://adviserinfo.sec.gov/individual/summary/4870159): the firm's Form ADV reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency, and the advisor holds no broker registration
- SEC Investment Adviser Public Disclosure and Form ADV: registration, exams, and firm facts, data as of October 29, 2026
- The firm's website (https://rosecapitaladvisors.com/): specialties, clients served, and fees, checked October 30, 2026

---

Source: Wellspent, the public graph of fee-only advisors (https://find.wellspent.co). No paid placement.