We provides investment advisory services, with a primary focus on discretionary portfolio management, for families and related entities, including trusts, family-controlled entities, and related investment accounts.

Where appropriate, the firm may also provide project-based financial planning services on selected financial and investment-related matters.

The firm generally serves families, trusts, family-controlled entities, and related investment accounts seeking a long-term and risk-aware investment approach.

Client assets are held at qualified custodians such as Charles Schwab or Interactive Brokers, in accounts maintained in the client’s name.

RootsOn Capital LLC may receive discretionary trading authority over client accounts pursuant to an executed advisory agreement and custodian authorization. This authority allows the firm to place trades in the client’s account, but it does not give the firm authority to withdraw client assets for its own use.

Clients maintain their own direct custodial relationship and account access with the qualified custodian.

RootsOn Capital LLC does not maintain physical custody of client funds or securities.

No. RootsOn Capital LLC is an independent investment adviser and does not receive commissions from the sale of investment products. The firm is not affiliated with any broker-dealer, bank, fund sponsor, or product issuer. Its independent structure allows portfolio decisions to be made without constraints from affiliated products or distribution arrangements.

The firm emphasizes long-term portfolio construction, diversification, disciplined implementation, risk management, and tax-aware investment execution.

Investment strategies are designed based on each client’s objectives, risk tolerance, liquidity needs, investment constraints, and broader financial circumstances.

No. RootsOn Capital LLC does not provide legal or tax advice. Clients should consult their legal, tax, and other professional advisers regarding such matters.

Advisory fees are generally based on assets under management and are described in the firm’s Form ADV and advisory agreement.

Certain project-based financial planning engagements may be billed separately.

Additional information is available in the firm’s Form ADV and Table of Fees for Services.

Additional information about RootsOn Capital LLC is available through the SEC’s Investment Adviser Public Disclosure (IAPD) website and in the firm’s Form ADV.