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Tortoise Investment Management, LLC: investment adviser
Tortoise Investment Management, LLC is an investment adviser registered with the SEC (file 801-65160, CRD 128723). What it reports on Form ADV: assets and clients, fees, owners, disciplinary history and its client brochure. From the SEC's Investment Adviser Public Disclosure site; read Oct 21, 2026.
- Assets managed
- $2.1B
- Discretionary
- 98%
- Accounts
- 3,029
- Employees
- 21
- In advisory roles
- 16
- Disclosures
- 0
Company page · SEC adviser record · Full Form ADV (PDF)
The firm reports that it or a related person has custody of client cash and securities.
Form ADV Part 1A, Item 5, as filed on the SEC Investment Adviser Public Disclosure site; read Oct 21, 2026.
Clients and fees
Whom the firm advises and how it is paid, from Items 5.D, 5.E and 5.G.
| Client type | Clients | Assets | Share |
|---|---|---|---|
| Individuals | 144 | $60.7M | 2.9% |
| High net worth individuals | 360 | $2.0B | 97.0% |
How it is paid
- A percentage of assets under your management
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
Who owns it
Schedule A lists direct owners of 5% or more (and officers who own a stake); Schedule B lists the owners of those owners.
Direct owners (Schedule A)
| Owner | Type | Role | Stake | Since | Control | Public company |
|---|---|---|---|---|---|---|
| Rochelle H. Yankwitt Revocable Trust U/A/D 11/7/2019 | Company (U.S.) | Member | D 50% to 75% | Jan 2022 | Yes | |
| Justin Scott Singer | Person | Managing director / member of the board of managers (oct 2019) | B 10% to 25% | Apr 2015 | Yes | |
| Riva Beth Roloff | Person | Chief operating officer / member of the board of managers (oct 2019) | A 5% to 10% | Mar 2018 | Yes |
Indirect owners (Schedule B)
| Owner | Owns a stake in | Type | Stake | Control | Public company |
|---|---|---|---|---|---|
| Rochelle Halpern Yankwitt | Rochelle H. Yankwitt Revocable Trust U/A/D 11/7/2019 | Person | F General partner, trustee or managing member | Yes |
Form ADV reports ownership in bands, not exact stakes: A means 5% to 10%, B 10% to 25%, C 25% to 50%, D 50% to 75%, E 75% or more. F marks a general partner, trustee or managing member, a role that controls the firm without a percentage. Owners of less than 5% are not listed.
Form ADV Schedules A and B, via the SEC Investment Adviser Public Disclosure site.
Disciplinary history
The firm answered No to every disciplinary question on Form ADV (Item 11).
The brochure
No brochure text was read for this firm.
Other brochures on file
- Tortoise Investment Management, LLC, Form ADV Part 2A, Mar 26, 2026
Form ADV Part 2A, via the SEC Investment Adviser Public Disclosure site.