DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
R.W. Roge & Company, Inc
Latest filing Feb 10, 2026
First filing on the tape Jan 10, 2012 · 46 filings
SEC status approved since Sep 26, 1986
RAUM
$419M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
94%
$395M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$419M as of Feb 10, 2026
Jan 10, 2012$206M then
HNW client RAUM$324M as of Feb 10, 2026
Feb 6, 2018$178M then
State-registered IARs (5.B.3)4 as of Feb 10, 2026
Jan 10, 20120 then
Employees (5.A)9 as of Feb 10, 2026
Mar 26, 201310 then
Private funds: no history
RAUM +15% over the last fiscal year+13% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 10, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $507,205derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 5.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.3%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$324M77%
- Individuals$70.5M17%
- Pension and profit-sharing plans$24.5M5.8%
- Individual clients
- 201reported
- HNW clients
- 121reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 827reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Steven Michael RogeCertified Financial Planner | Bohemia, Ny | Aug 5, 2013 | 30 y | 0 |
| Christine Marie ParisiCertified Financial Planner | Bohemia, Ny | Jun 11, 2021 | 11 y | 0 |
| Philip BrucatoCertified Financial Planner | Bohemia, Ny | Sep 10, 2024 | 10 y | 0 |
| Christopher Michael KehoeChartered Financial Analyst | Port Charlotte, Fl | Jan 10, 2025 | 12 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- Dustin Cidorowich to Commonwealth Financial NetworkFeb 8, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- Christopher Michael Kehoe from Value Advisors LLCJan 10, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael Steven Roge · Chief Investment Officer And Ceosince 02/2005 · owns 75% or more
- Jeanne Susan Roge · Chief Compliance Officersince 09/2016 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bohemia, Ny · principal | 3 | 0 | 0 | ||
| Beverly, Ma | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Beverly, MA2 employees
- Naples, FL2 employees
What changed
consecutive filings, newest first
- Accounts · 787 to 827Oct 14, 2025 to Feb 10, 2026
- HNW clients · 115 to 121Oct 14, 2025 to Feb 10, 2026
- Individual clients · 185 to 201Oct 14, 2025 to Feb 10, 2026
- Pension plan clients · 11 to 10Oct 14, 2025 to Feb 10, 2026
- Assets in custody · $97.3M to $115MOct 14, 2025 to Feb 10, 2026
- Financial planning clients · 251-500 to 101-250Oct 14, 2025 to Feb 10, 2026
- Discretionary RAUM · $348M to $395MOct 14, 2025 to Feb 10, 2026
- HNW RAUM · $275M to $324MOct 14, 2025 to Feb 10, 2026
- Individual RAUM · $63.1M to $70.5MOct 14, 2025 to Feb 10, 2026
- Non-discretionary RAUM · $16.9M to $24.2MOct 14, 2025 to Feb 10, 2026
- Pension RAUM · $26.5M to $24.5MOct 14, 2025 to Feb 10, 2026
- RAUM · $365M to $419MOct 14, 2025 to Feb 10, 2026
- Accounts · 806 to 787Dec 20, 2024 to Feb 4, 2025
- HNW clients · 102 to 115Dec 20, 2024 to Feb 4, 2025
- Individual clients · 214 to 185Dec 20, 2024 to Feb 4, 2025
- Pension plan clients · 10 to 11Dec 20, 2024 to Feb 4, 2025
- Assets in custody · $112M to $97.3MDec 20, 2024 to Feb 4, 2025
- Employees · 8 to 9Dec 20, 2024 to Feb 4, 2025
- Insurance-licensed employees · 0 to 1Dec 20, 2024 to Feb 4, 2025
- Financial planning clients · 251-500 to 251-500Dec 20, 2024 to Feb 4, 2025
- Discretionary RAUM · $320M to $348MDec 20, 2024 to Feb 4, 2025
- HNW RAUM · $236M to $275MDec 20, 2024 to Feb 4, 2025
- Individual RAUM · $75.5M to $63.1MDec 20, 2024 to Feb 4, 2025
- Non-discretionary RAUM · $15.5M to $16.9MDec 20, 2024 to Feb 4, 2025
- Pension RAUM · $24.7M to $26.5MDec 20, 2024 to Feb 4, 2025
- RAUM · $336M to $365MDec 20, 2024 to Feb 4, 2025
- Accounts · 768 to 806Nov 30, 2023 to Feb 13, 2024
- Advisory employees · 5 to 4Nov 30, 2023 to Feb 13, 2024
- HNW clients · 96 to 102Nov 30, 2023 to Feb 13, 2024
- Individual clients · 205 to 214Nov 30, 2023 to Feb 13, 2024
- Pension plan clients · 11 to 10Nov 30, 2023 to Feb 13, 2024
- Assets in custody · $95.1M to $112MNov 30, 2023 to Feb 13, 2024
- Employees · 9 to 8Nov 30, 2023 to Feb 13, 2024
- State-registered IARs · 5 to 4Nov 30, 2023 to Feb 13, 2024
- Discretionary RAUM · $273M to $320MNov 30, 2023 to Feb 13, 2024
- HNW RAUM · $197M to $236MNov 30, 2023 to Feb 13, 2024
- Individual RAUM · $70.0M to $75.5MNov 30, 2023 to Feb 13, 2024
- Non-discretionary RAUM · $15.1M to $15.5MNov 30, 2023 to Feb 13, 2024
- Pension RAUM · $21.0M to $24.7MNov 30, 2023 to Feb 13, 2024
- RAUM · $288M to $336MNov 30, 2023 to Feb 13, 2024
Signals
2 dated events
- Dustin Cidorowich left R.W. Roge & Company, Inc for Commonwealth Financial Network (registered 2026-02-19)Feb 8, 2026 · Advisor changed firm · fact
- Ronald Roge (Chairman & Ceo) no longer on Schedule A of R.W. Roge & Company, Inc (listed 2023-09-22, absent 2023-11-30)Nov 30, 2023 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@napfa.orgreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- tennanth@napfa.orgreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- arendst@napfa.orgreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- bones@napfa.orgreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- casasn@napfa.orgreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- conference@napfa.orgreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- editor@napfa.orgreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- fusilerot@napfa.orgreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ganzec@napfa.orgreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- groverc@napfa.orgreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- hooksj@napfa.orgreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- membership@napfa.orgreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026