Roman Wealth Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$28,622,553
This total excludes 2 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
78
18% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
78
Very HighAverage account size
$366,956
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
Financial planning
Portfolio management
Expertise
Active portfolio management
Fee options
1.50% annually
Main office location
Roman Wealth Management, LLC
Mount Juliet TN, United States
Number of offices
1
Most active in
Roman Wealth Management, LLC has reported serving >5 clients in these states in the last 12 months.
Pennsylvania · Tennessee
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
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.
Forms ADV
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