Shummi Jindal
Rose Capital Advisors · Plandome, New York
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.
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Specialties
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 | $608.3M across 917 accounts |
| SEC registration | Investment adviser representative in NY · CRD 4870159 |
| Exams passed | Series 65 (2026) |
| Firm size | 14 employees |
| Disclosures | None reported |
| Website | www.rosecapitaladvisors.com |
| Profile |
How Shummi's firm compares
- Rose Capital Advisors's average account is about $663,000, from its Form ADV (assets managed divided by 917 accounts).
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Questions about Shummi
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.
What these terms mean: fee-only · fiduciary · CFP · CRD number · all terms
Where this information comes from
- SEC adviser records : 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
- Rose Capital Advisors website : specialties, clients served, and fees, checked October 30, 2026
- SEC Investment Adviser Public Disclosure : registration, exams, and the firm's Form ADV, data as of October 29, 2026
- Directory listing last checked October 30, 2026.
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