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Carolyn Au

Chief Compliance Officer; Chief Operating OfficerRose Smart Growth Investment Advisors, LLCCRD 7675545

About Carolyn Au

Carolyn Au is listed as Chief Compliance Officer; Chief Operating Officer at Rose Smart Growth Investment Advisors, LLC in New York, NY. Form ADV reports a beneficial ownership band of Under 5%.

Reported ownership

Owns Under 5% of Rose Smart Growth Investment Advisors, LLC
Ownership band reported on Form ADV Schedule A

Frequently asked questions

Where does Carolyn Au work?

Carolyn Au is listed as Chief Compliance Officer; Chief Operating Officer at Rose Smart Growth Investment Advisors, LLC on SEC Form ADV.

How much of Rose Smart Growth Investment Advisors, LLC does Carolyn Au own?

Form ADV reports a beneficial ownership band of Under 5%.

Rose Smart Growth Investment Advisors, LLC

TitleChief Compliance Officer; Chief Operating Officer
OwnershipUnder 5%
Control personYes
Since2022
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