Roman Wealth Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$28,622,553
Clients
78
Advisors
1
of 1 employees
About
Roman Wealth Management is an independent, single-advisor registered investment adviser that provides ongoing portfolio management and integrated financial planning to individuals, high-net-worth individuals, and charitable organizations. The firm manages roughly $34.6 million across about 78 client relationships and documents client goals, tax considerations, and risk tolerance in individualized Investment Policy Statements.
RWM generally seeks discretionary authority to implement clients’ plans and constructs portfolios using long-term trading with a primary emphasis on individual equities, while also employing mutual funds, fixed income, and ETFs when appropriate. Investment decisions incorporate charting, cyclical, fundamental, and technical analysis, and accounts are reviewed at least monthly.
Compared with many peers, RWM’s inclusion of charitable organizations among its client types is relatively uncommon, and its tendency to recommend individual equities can result in more concentrated portfolios than firms that rely mainly on pooled vehicles. The firm requires client custody at Schwab Institutional and discloses a 2025 regulatory consent order addressing compliance and recordkeeping issues; it reports having cooperated with regulators, implemented corrective procedures, paid a civil penalty, and experienced no client losses.
Client services
Expertise
Fee options
1.50% annually
Main office
Mount Juliet TN
Advisors at this office
1
Most active in
Pennsylvania · Tennessee
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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