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
Rockwood Wealth Management, LLC
Latest filing Jul 16, 2026
First filing on the tape Feb 27, 2012 · 123 filings
SEC status approved since Jan 26, 2009
RAUM
$2.9B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$2.8B individuals and HNW
Advisors
45
registered through the firm on IAPD
RAUM per advisor
$63.8M
derived; firm RAUM over IAPD count
Employees
53
47 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
123 filings and snapshots on the tape
RAUM$2.9B as of Jul 16, 2026
Feb 27, 2012$124M then
HNW client RAUM$2.4B as of Jul 16, 2026
Mar 27, 2018$416M then
State-registered IARs (5.B.3)45 as of Jul 16, 2026
Feb 27, 20120 then
Employees (5.A)53 as of Jul 16, 2026
Feb 13, 20133 then
Private funds: no history
RAUM +31% over the last fiscal year+28% a year over threeIARs 39 to 45
Practice profile
derived from the filing of Jul 16, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $63.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $548,005derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 45.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +15%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Financial planning clients
- 1,136reportedItem 5.H
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.4B83%
- Individuals$382M13%
- Pension and profit-sharing plans$79.2M2.8%
- Charitable organizations$11.9M0.4%
- Corporations and businesses$4.2M0.1%
- Individual clients
- 438reported
- HNW clients
- 480reported
- Pension plan clients
- 26reported
- Charitable clients
- 10reported
- Accounts
- 5,237reported
- Financial planning clients
- 1,136reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
45 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Robert AugenblickCertified Financial Planner | New Hope, Pa | Jan 6, 2009 | 20 y | 1 |
| Mark Theodore Kelly | New Hope, Pa | May 2, 2013 | 22 y | 4 |
| Robert Thomas StephensonCertified Financial Planner | New Hope, Pa | Oct 30, 2015 | 11 y | 0 |
| Megan Jane Lottier | New Hope, Pa | Apr 11, 2016 | 11 y | 0 |
| Samuel Whitaker FeldbaumCertified Financial Planner | New Hope, Pa | Jun 11, 2016 | 14 y | 1 |
| Kenny Brian BauerCertified Financial Planner | New Hope, Pa | Sep 29, 2017 | 29 y | 1 |
| Paige E Marlow | New Hope, Pa | Dec 15, 2017 | 16 y | 2 |
| John T HaganCertified Financial Planner | New Hope, Pa | Aug 27, 2018 | 21 y | 0 |
| Travis Simao Roe-RaymondCertified Financial Planner, Chartered Financial Analyst | New Hope, Pa | May 23, 2019 | 15 y | 2 |
| Renee A SchusterCertified Financial Planner | New Hope, Pa | Aug 14, 2019 | 15 y | 2 |
| Courtney Lynn DurhamCertified Financial Planner | New Hope, Pa | Sep 23, 2019 | 19 y | 0 |
| Najeedah GhiasCertified Financial Planner | New Hope, Pa | Jan 1, 2020 | 17 y | 0 |
| Catherine P Morgan | New Hope, Pa | Jun 17, 2020 | 10 y | 0 |
| Brian M HansenCertified Financial Planner | New Hope, Pa | Nov 12, 2020 | 15 y | 0 |
| Robert M VogelCertified Financial Planner | New Hope, Pa | Dec 14, 2020 | 26 y | 4 |
| James A Smith | New Hope, Pa | Nov 1, 2021 | 14 y | 0 |
| Courtney KrzaczykCertified Financial Planner | New Hope, Pa | Jan 21, 2022 | 11 y | 0 |
| Kyle David QuigleyCertified Financial Planner | New Hope, Pa | Mar 1, 2022 | 10 y | 0 |
| Jeffrey Baker LlewellynCertified Financial Planner, Chartered Financial Analyst | New Hope, Pa | Apr 4, 2022 | 12 y | 3 |
| John Earl Helvie | New Hope, Pa | Apr 29, 2022 | 10 y | 0 |
| Mark ArcidiaconoCertified Financial Planner | New Hope, Pa | May 17, 2022 | 13 y | 2 |
| Kimberly A EvansCertified Financial Planner | New Hope, Pa | Jun 2, 2022 | 12 y | 0 |
| Maxwell Valentine DalavaiCertified Financial Planner | New Hope, Pa | Jul 15, 2022 | 10 y | 2 |
| Adam R KlazmerCertified Financial Planner | New Hope, Pa | Oct 14, 2022 | 14 y | 1 |
| Jade Alanah MeierCertified Financial Planner | New Hope, Pa | Jan 25, 2023 | 13 y | 0 |
| Benjamin S HermanCertified Financial Planner | New Hope, Pa | Oct 16, 2023 | 13 y | 0 |
| Jack Paul GawasonCertified Financial Planner | New Hope, Pa | Nov 6, 2023 | 13 y | 0 |
| Natalia RybakCertified Financial Planner | New Hope, Pa | Jan 26, 2024 | 14 y | 0 |
| John CollinsCertified Financial Planner | New Hope, Pa | Jun 17, 2024 | 10 y | 1 |
| Robert Ney Dusek | New Hope, Pa | Oct 14, 2024 | 10 y | 0 |
| Phoebe O'Malley | New Hope, Pa | Nov 15, 2024 | 11 y | 0 |
| Carlie Elizabeth Shorr | New Hope, Pa | Nov 19, 2024 | 11 y | 0 |
| Michael D Flaten | New Hope, Pa | Dec 6, 2024 | 13 y | 0 |
| Robert James Maloney | New Hope, Pa | Jan 27, 2025 | 12 y | 0 |
| Jack Paul Ventresca | New Hope, Pa | Apr 18, 2025 | 18 y | 0 |
| Siddhi Sagar Malvankar | New Hope, Pa | May 20, 2025 | 11 y | 0 |
| James Hunter Gilmore | New Hope, Pa | Jul 21, 2025 | 17 y | 0 |
| Daphne Jillian Smoley | New Hope, Pa | Sep 4, 2025 | 12 y | 0 |
| John Andrew Little | New Hope, Pa | Sep 12, 2025 | 11 y | 0 |
| Jackson Charles West | New Hope, Pa | Dec 4, 2025 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount3 left over 36 months
Left, latest
- Brandon Tyler Zahal to Crossgate Wealth Advisors, LLCOct 4, 2024 · RIA to RIA
- Maureen Celeste Donahue to Yardley Wealth Management LLCMay 22, 2024 · RIA to RIA
- Dominic Anthony Bova to Ritholtz Wealth ManagementMar 23, 2024 · RIA to RIA
- Mark A Cecchini to Range Advisory, LLCMay 5, 2022 · RIA to a newly registered adviser
- Michael J Byrne to Personal Capital Advisors CorporationAug 31, 2021 · RIA to RIA
- Dina Megretskaia to Modera Wealth Management, LLCJun 20, 2019 · RIA to RIA
- Sean Joseph Mcginn to Raymond James Financial Services Advisors, IncMar 12, 2019 · RIA to affiliated broker-dealer or bank
- Thaddeus Norman Toal to Rcs Financial Planning, LLCMay 1, 2018 · RIA to RIA
- Eric D Siss to Wealthstream Advisors, Inc.Jun 1, 2017 · Other
- William Andrew Aquila to Waypoint Financial, LLCApr 1, 2016 · Other
- Ian T Harvey to Bridgewater Advisors Inc.Apr 20, 2015 · Other
- Adam Michael Newman to Cambridge Investment Research Advisors, Inc.Aug 30, 2010 · Other
Joined, latest
- John Collins from Equitable Advisors, LLCJun 17, 2024 · Affiliated broker-dealer or bank to independent RIA
- Brandon Tyler Zahal from Presilium Private Wealth, LLCDec 11, 2023 · RIA to RIA
- Adam R Klazmer from Equitable Advisors, LLCOct 14, 2022 · Affiliated broker-dealer or bank to independent RIA
- Maxwell Valentine Dalavai from Crossgate Wealth Advisors, LLCJul 15, 2022 · RIA to RIA
- Dominic Anthony Bova from LPL Financial LLCJul 14, 2022 · RIA to RIA
- Mark Arcidiacono from Charles Schwab & Co., Inc.May 17, 2022 · Affiliated broker-dealer or bank to independent RIA
- Jeffrey Baker Llewellyn from Fidelity Personal And Workplace AdvisorsApr 4, 2022 · Affiliated broker-dealer or bank to independent RIA
- Mark A Cecchini from Catalyst Wealth Advisors LLCSep 22, 2021 · RIA to RIA
- Robert M Vogel from MarinerDec 14, 2020 · Affiliated broker-dealer or bank to independent RIA
- Renee A Schuster from Advice And Planning ServicesAug 14, 2019 · Affiliated broker-dealer or bank to independent RIA
- Travis Simao Roe-Raymond from Advice And Planning ServicesMay 23, 2019 · Affiliated broker-dealer or bank to independent RIA
- Maureen Celeste Donahue from Wells Fargo AdvisorsAug 13, 2018 · Wirehouse to independent RIA
- Paige E Marlow from Commonwealth Financial NetworkDec 15, 2017 · Other
- Kenny Brian Bauer from The Marshall Financial Group, IncSep 29, 2017 · Other
- Samuel Whitaker Feldbaum from Locust Capital Management LLCJun 11, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Robert John Augenblick · Membercontrolsince 12/2008 · owns 50% to 75%
- Brian Kenny Bauer · Membersince 07/2020 · owns 5% to 10%
- Whitaker Samuel Feldbaum · Membersince 01/2018 · owns 10% to 25%
- Masler Alaina Gilbert · Membersince 01/2023 · owns less than 5%
- T John Hagan · Principalsince 01/2024 · owns less than 5%
- Theodore Mark Kelly · Membersince 01/2016 · owns 10% to 25%
- Jane Megan Lottier · Chief Compliance Officersince 01/2018 · owns less than 5%
- E Paige Marlow · Principalsince 01/2024 · owns less than 5%
- A James Smith · Chief Investment Officersince 01/2024 · owns less than 5%
- Thomas Robert Stephenson · Membersince 01/2023 · 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 |
|---|---|---|---|---|---|
| New Hope, Pa · principal | 45 | 6 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 48 to 47May 15, 2026 to Jul 16, 2026
- Charity clients · 3 to 10May 15, 2026 to Jul 16, 2026
- Corporate clients · 7 to 5May 15, 2026 to Jul 16, 2026
- HNW clients · 432 to 480May 15, 2026 to Jul 16, 2026
- Individual clients · 491 to 438May 15, 2026 to Jul 16, 2026
- Employees · 54 to 53May 15, 2026 to Jul 16, 2026
- State-registered IARs · 46 to 45May 15, 2026 to Jul 16, 2026
- HNW RAUM · $2.3B to $2.4BMay 15, 2026 to Jul 16, 2026
- Individual RAUM · $470M to $382MMay 15, 2026 to Jul 16, 2026
- Advisory employees · 47 to 48Apr 29, 2026 to May 15, 2026
- Employees · 53 to 54Apr 29, 2026 to May 15, 2026
- State-registered IARs · 45 to 46Apr 29, 2026 to May 15, 2026
- Accounts · 4,476 to 5,237Feb 18, 2026 to Mar 19, 2026
- Charity clients · 5 to 3Feb 18, 2026 to Mar 19, 2026
- Corporate clients · 37 to 7Feb 18, 2026 to Mar 19, 2026
- HNW clients · 399 to 432Feb 18, 2026 to Mar 19, 2026
- Individual clients · 457 to 491Feb 18, 2026 to Mar 19, 2026
- Pension plan clients · 37 to 26Feb 18, 2026 to Mar 19, 2026
- Discretionary RAUM · $2.2B to $2.8BFeb 18, 2026 to Mar 19, 2026
- HNW RAUM · $1.7B to $2.3BFeb 18, 2026 to Mar 19, 2026
- Individual RAUM · $346M to $470MFeb 18, 2026 to Mar 19, 2026
- Non-discretionary RAUM · $26.7M to $23.7MFeb 18, 2026 to Mar 19, 2026
- Pension RAUM · $73.6M to $79.2MFeb 18, 2026 to Mar 19, 2026
- RAUM · $2.2B to $2.9BFeb 18, 2026 to Mar 19, 2026
- Advisory employees · 44 to 47Jan 29, 2026 to Feb 18, 2026
- Employees · 50 to 53Jan 29, 2026 to Feb 18, 2026
- State-registered IARs · 42 to 45Jan 29, 2026 to Feb 18, 2026
- Advisory employees · 45 to 44Sep 29, 2025 to Dec 8, 2025
- Employees · 51 to 50Sep 29, 2025 to Dec 8, 2025
- State-registered IARs · 43 to 42Sep 29, 2025 to Dec 8, 2025
- Advisory employees · 44 to 45Jul 30, 2025 to Sep 29, 2025
- Employees · 50 to 51Jul 30, 2025 to Sep 29, 2025
- State-registered IARs · 42 to 43Jul 30, 2025 to Sep 29, 2025
- Advisory employees · 42 to 44May 6, 2025 to Jul 30, 2025
- Employees · 48 to 50May 6, 2025 to Jul 30, 2025
- Financial planning clients · More than 500 to More than 500May 6, 2025 to Jul 30, 2025
- State-registered IARs · 40 to 42May 6, 2025 to Jul 30, 2025
- Advisory employees · 41 to 42Apr 30, 2025 to May 6, 2025
- Employees · 47 to 48Apr 30, 2025 to May 6, 2025
- State-registered IARs · 39 to 40Apr 30, 2025 to May 6, 2025
Signals
10 dated events
- Rockwood Wealth Management, Llc reported RAUM $2.9B, up 31% from $2.2B (2026-02-18 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- Brandon Tyler Zahal left Rockwood Wealth Management, Llc for Crossgate Wealth Advisors, Llc (registered 2025-01-09)Oct 4, 2024 · Advisor changed firm · fact
- Maureen Celeste Donahue left Rockwood Wealth Management, Llc for Yardley Wealth Management Llc (registered 2023-10-31)May 22, 2024 · Advisor changed firm · fact
- Dominic Anthony Bova left Rockwood Wealth Management, Llc for Ritholtz Wealth Management (registered 2024-03-29)Mar 23, 2024 · Advisor changed firm · fact
- Rockwood Wealth Management, Llc reported RAUM $1.8B, up 28% from $1.4B (2023-12-15 to 2024-01-24)Jan 24, 2024 · RAUM change · derived
- Mark A Cecchini left Rockwood Wealth Management, Llc for Range Advisory, Llc (registered 2022-07-13)May 5, 2022 · Advisor changed firm · fact
- Rockwood Wealth Management, Llc reported RAUM $1.4B, up 33% from $1.0B (2022-02-16 to 2022-02-23)Feb 23, 2022 · RAUM change · derived
- Rockwood Wealth Management, Llc reported RAUM $1.0B, up 29% from $807.2M (2021-02-08 to 2021-02-10)Feb 10, 2021 · RAUM change · derived
- Brian Kenny Bauer (Member) appeared on Schedule A of Rockwood Wealth Management, LlcJun 29, 2020 · Control person joined · fact
- Rockwood Wealth Management, Llc reported RAUM $635.7M, up 32% from $481.0M (2017-06-09 to 2018-01-04)Jan 4, 2018 · RAUM change · derived
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 phone
- 267-983-6400reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/rockwood-wealth-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ROCKWOODWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 267-983-6400reportedpublic record, Form ADV, Jul 16, 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
- $63.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026