Legal Disclosures

RoseMark Advisors, “RoseMark” is a registered investment adviser with its principal place of business in the State of New York.  The information presented herein is subject to change without notice and should not be considered as a solicitation to buy or sell any security.  RoseMark and its representatives are in compliance with the current registration requirements imposed upon registered investment advisers by those states in which RoseMark maintains clients.  RoseMark may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from notice filing requirements.  Any subsequent, direct communication by RoseMark with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides.  For information pertaining to the registration status of RoseMark, please contact us or refer to the Investment Adviser Public Disclosure web site (www.adviserinfo.sec.gov). For additional information about RoseMark, including fees and services, please review our disclosure statement.  Please read the disclosure statement carefully before you engage in any of the services we provide. This material is distributed with the understanding that we are not rendering accounting, legal or tax advice.  You should consult with independent advisors concerning such matters.  The risks described herein should not be assumed as the entire set of risks prevalent to your account or financial plan.  Clients are urged to consider carefully the materials presented.  These views and strategies may not be suitable for all clients. These risks include, but are not limited to: systemic risk, security-specific risk, liquidity risk, credit risk, interest rate risk, currency risk, political risk, and risks associated with non-standardized accounting. Accordingly, any discussion of U.S. tax matters contained herein, including any attachments, is not intended or written to be used, and cannot be used, in connection with the promotion, marketing or recommendation by anyone unaffiliated with RoseMark of any of the matters addressed herein or for the purpose of avoiding U.S. tax-related penalties.  RoseMark also acts a solicitor for Castle Asset Management LLC, with which RoseMark shares its principal office, place of business and is under common control.  RoseMark may receive solicitor compensation from Castle for the referral of clients to Castle pursuant to a written solicitation agreement between RoseMark and Castle.  Upon engaging Castle, the client will receive a copy of Castle’s Form ADV disclosure brochure and a separate disclosure statement discussing RoseMark’s  relationship with Castle and the fee that RoseMark will receive for the referral. As applicable, portions of the material contained in this document are provided in association with third parties.  All rights reserved. Any copying, republication or redistribution of this content is expressly prohibited.


RM ADV Part II 2020 03 20

CAM ADV Brochure 2020 03 03

Form CRS 2020 06 24

Form CRS 2020 06 24 JC