Wealth manager, independent · New Hope, PA
Rockwood Wealth Management, LLC
SEC-registered investment adviser · CRD 137481 · SEC 801-69884
At a glance
Rockwood Wealth Management, LLC is an SEC-registered investment adviser based in New Hope, Pennsylvania, with $2.9B in regulatory assets under management as of its Form ADV filed July 16, 2026. It reports 918 individual clients, 480 of them high-net-worth, holding an average of about $3.0 million each, and 53 employees. That ranks it 384th among the nation’s 5,657 independent wealth management RIAs and 29th of 260 in Pennsylvania. It reports 2 custodians for its clients’ separately managed accounts: Fidelity and Charles Schwab.
Main office 267-983-6400rockwoodwealth.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.9B
- Rank among independent wealth managers
- #384 of 5,657
- Rank among all SEC RIAs
- #2,905 of 17,210
- Rank in Pennsylvania
- #29 of 260
- Individual clients
- 918
- High-net-worth clients
- 480
- Accounts
- 5,237
- Discretionary
- 99% of AUM
- Employees
- 53
- Advisory staff
- 47
- Offices
- 1
Owners and executives on its Form ADV
- John R. AugenblickMember
- Mark T. KellyMember
- Samuel W. FeldbaumMember
- Megan J. LottierChief Compliance Officer
- Kenny B. BauerMember
- James A SmithChief Investment Officer
Custody and brokerage
Broker-dealer
No broker-dealer ties
Rockwood Wealth Management, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 480 | $2.4B | 83% |
| Individuals | 438 | $382M | 13% |
| Pension and profit sharing plans | 26 | $79M | 3% |
| Charitable organizations | 10 | $12M | <1% |
| Corporations or other businesses | 5 | $4M | <1% |
| Other | 12 | $4M | <1% |
Disciplinary disclosures
Rockwood Wealth Management, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗rockwoodwealth.com ↗
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The full record on Rockwood Wealth Management, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 1,405 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Pennsylvania
All of Pennsylvania →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Gibson Capital, LLCWexford | $3.0B | 222 |
| Elm WealthPhiladelphia | $3.0B | 644 |
| Vicus Capital, Inc.State College | $3.0B | 6,170 |
| Key Financial, Inc.West Chester | $2.8B | 1,409 |
| Fragasso Financial AdvisorsSewickley | $2.8B | 2,073 |
| RTD Financial Advisors IncPhiladelphia | $2.7B | 719 |
Background
Questions
How much does Rockwood Wealth Management, LLC manage?
Rockwood Wealth Management, LLC reports $2.9B in regulatory assets under management across 5,237 accounts, 99% of it on a discretionary basis, on its Form ADV filed July 16, 2026.
How many clients does Rockwood Wealth Management, LLC have?
It reports 918 individual clients: 480 high-net-worth individuals and 438 other individuals. Individuals account for about 97% of its regulatory assets.
Where is Rockwood Wealth Management, LLC headquartered?
Its main office is in New Hope, Pennsylvania. It reports 1 office in total and 53 employees, 47 of whom perform investment advisory functions.
How does Rockwood Wealth Management, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Rockwood Wealth Management, LLC use?
It reports 2 custodians for its clients’ separately managed accounts: Fidelity and Charles Schwab. On Schedule D of its Form ADV filed July 16, 2026, it reports these amounts held: Fidelity ($2.0B); Charles Schwab ($589M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Rockwood Wealth Management, LLC a hybrid RIA with a broker-dealer?
Rockwood Wealth Management, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Rockwood Wealth Management, LLC a fiduciary?
As an SEC-registered investment adviser, Rockwood Wealth Management, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Rockwood Wealth Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-16), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →