Unclaimed Profile

Vincent Harl Rossi

ICW INVESTMENT ADVISORS, LLC·SCOTTSDALE, Arizona

Series 3, Series 7, Series 63, Series 65CFP23 years registeredICW INVESTMENT ADVISORS, LLC

16427 NORTH SCOTTSDALE ROAD, SCOTTSDALE, AZ 85254-1595CRD# 1201864Firm CRD# 135081

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Vincent Harl Rossi · SCOTTSDALE, AZ

Registration

CRD #1201864 · ICW INVESTMENT ADVISORS, LLC · 23 years registered

Brand Profile

Not yet started

Career History

INTELLIGENT CAPITALWORKS

Aug 2005 – present

MORGAN STANLEY

Nov 2002 – Aug 2005

SCOTTSDALE, AZ

Registrations & Exams

FINRA examinations passed

Series 3

Series 7

Series 63

Series 65

Registration record

First registered · November 14, 2002

Years registered · 23

Professional designation · CFP

Disclosure History

1999Customer Dispute·Award / Judgment

1989Customer Dispute·Award / Judgment

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

ICW INVESTMENT ADVISORS, LLC

CRD 135081 · SEC 801-64460

AUM

$298M

Regulatory assets under management

Employees

302 client accounts

Services offered by ICW INVESTMENT ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at ICW INVESTMENT ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does Vincent Harl Rossi offer?

Vincent Harl Rossi specializes in Financial Planning, Investment Management. Contact their office in SCOTTSDALE, Arizona for a consultation.

What are Vincent Harl Rossi's credentials?

Vincent Harl Rossi holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Vincent Harl Rossi located?

Vincent Harl Rossi is based in SCOTTSDALE, Arizona, working with ICW INVESTMENT ADVISORS, LLC. Their office serves clients in the SCOTTSDALE metropolitan area and surrounding communities.

How does Vincent Harl Rossi charge for services?

Vincent Harl Rossi's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ICW INVESTMENT ADVISORS, LLC?

ICW INVESTMENT ADVISORS, LLC has approximately 6 employees and manages $298M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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