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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

RTW FINANCIAL ADVISORS INC

CRD 109934

DALLAS, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e215c54b-924f-f72f-7b45-ecefba664180

Data as of Jun 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Jun 22, 2026
19 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.86 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=3.0
Regulatory AUM: $581MItem 5.F on the latest filing (2026-06-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $545M
Private client RAUM: $502MderivedItem 5.D individuals plus high net worth individuals
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $194Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 11
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 521
Individual clients: 93
High net worth clients: 85
SEC number: 801-38676
CRD: 109934
Filings on the tape: 19
First filed: Mar 30, 2012
Latest filed: Jun 22, 2026
Organised: Corporation, TX

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
PETER HOWARD ROE	n/a	DALLAS, TX	21	44	1	yes
MORRIS C WILLIAMS	n/a	DALLAS, TX	21	44	1	yes
STEPHEN TYLER MCKIMMEY	Certified Financial Planner	DALLAS, TX	0	12	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ROE, PETER, HOWARD	President	C	yes	01/1991	Mar 30, 2012	Mar 29, 2024
WILLIAMS, MORRIS, C	TREASURER, CHIEF COMPLIANCE OFFICER	C	yes	01/1991	Mar 30, 2012	Mar 29, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MORRIS C. WILLIAMS	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$581M	$545M	11	3	0	n/a	n/a
2024	Mar 31, 2025	$509M	$478M	11	3	0	n/a	n/a
2023	Mar 29, 2024	$472M	$442M	11	3	0	n/a	n/a
2022	Mar 30, 2023	$464M	$438M	12	4	0	n/a	n/a
2021	Mar 30, 2022	$383M	$366M	12	4	0	n/a	n/a
2020	Mar 31, 2021	$345M	$327M	13	5	0	n/a	n/a
2019	Mar 26, 2020	$307M	$294M	12	5	0	n/a	n/a
2018	Mar 28, 2019	$278M	$235M	11	5	0	n/a	n/a
2017	Mar 29, 2018	$286M	$232M	13	4	0	n/a	n/a
2016	Mar 29, 2017	$253M	$228M	11	3	n/a	n/a	n/a
2015	Mar 30, 2016	$240M	$216M	11	3	n/a	n/a	n/a
2014	Mar 30, 2015	$281M	$208M	10	3	n/a	n/a	n/a
2013	Mar 28, 2014	$170M	$154M	10	2	n/a	n/a	n/a
2012	Mar 28, 2013	$191M	$133M	11	2	n/a	n/a	n/a
2011	Mar 30, 2012	$317M	$157M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$581M	$509M	14.3%	$464M	7.8%	11	11	0	0

Relationships

Registered with (3)

← STEPHEN TYLER MCKIMMEYAdvisorregistration: current employment
Apr 15, 2026 to presentfactForm ADV
← PETER HOWARD ROEAdvisorregistration: previous registration
Jan 13, 2003 to Dec 31, 2004factForm ADV
← MORRIS C WILLIAMSAdvisorregistration: previous registration
Jan 13, 2003 to Dec 31, 2004factForm ADV

Controls (2)

← ROE, PETER, HOWARDOwnerPRESIDENT, ownership code C, individual
Mar 30, 2012 to Mar 29, 2024factForm ADV
← WILLIAMS, MORRIS, COwnerTREASURER, CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 30, 2012 to Mar 29, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e215c54b-924f-f72f-7b45-ecefba664180
First observed: Mar 30, 2012
Last observed: Jun 22, 2026 3 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

RTW FINANCIAL ADVISORS INC

CRD 109934

DALLAS, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e215c54b-924f-f72f-7b45-ecefba664180

Data as of Jun 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:33 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

PETER HOWARD ROE

n/a

DALLAS, TX

yes

MORRIS C WILLIAMS

n/a

DALLAS, TX

yes

STEPHEN TYLER MCKIMMEY

Certified Financial Planner

DALLAS, TX

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ROE, PETER, HOWARD

President

yes

01/1991

Mar 30, 2012

Mar 29, 2024

WILLIAMS, MORRIS, C

TREASURER, CHIEF COMPLIANCE OFFICER

yes

01/1991

Mar 30, 2012

Mar 29, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MORRIS C. WILLIAMS

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$581M

$545M

n/a

2024

Mar 31, 2025

$509M

$478M

n/a

2023

Mar 29, 2024

$472M

$442M

n/a

2022

Mar 30, 2023

$464M

$438M

n/a

2021

Mar 30, 2022

$383M

$366M

n/a

2020

Mar 31, 2021

$345M

$327M

n/a

2019

Mar 26, 2020

$307M

$294M

n/a

2018

Mar 28, 2019

$278M

$235M

n/a

2017

Mar 29, 2018

$286M

$232M

n/a

2016

Mar 29, 2017

$253M

$228M

n/a

2015

Mar 30, 2016

$240M

$216M

n/a

2014

Mar 30, 2015

$281M

$208M

n/a

2013

Mar 28, 2014

$170M

$154M

n/a

2012

Mar 28, 2013

$191M

$133M

n/a

2011

Mar 30, 2012

$317M

$157M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$581M

$509M

14.3%

$464M

7.8%