Wealth manager, independent · Philadelphia, PA
Roffman Miller Associates Inc
Roffman Milller Associates Inc · SEC-registered investment adviser · CRD 106019 · SEC 801-38491
At a glance
Roffman Miller Associates Inc is an SEC-registered investment adviser based in Philadelphia, Pennsylvania, with $3.2B in regulatory assets under management as of its Form ADV filed August 25, 2026. It reports 1,598 individual clients, 1,132 of them high-net-worth, holding an average of about $1.9 million each, and 15 employees. That ranks it 337th among the nation’s 5,657 independent wealth management RIAs and 24th of 260 in Pennsylvania. It reports Charles Schwab as the custodian for its clients’ separately managed accounts.
Main office 215-981-1030roffmanmiller.comAs filed on Form ADV
- Regulatory AUM
- $3.2B
- Rank among independent wealth managers
- #337 of 5,657
- Rank among all SEC RIAs
- #2,729 of 17,210
- Rank in Pennsylvania
- #24 of 260
- Individual clients
- 1,598
- High-net-worth clients
- 1,132
- Accounts
- 1,599
- Discretionary
- 99% of AUM
- Employees
- 15
- Advisory staff
- 14
- Offices
- 2
Owners and executives on its Form ADV
- Roy L. GorinDirector
- Paulette GreenwellVice President, Secretary, Chief Compliance Officer
- Robert P. MillerChairman and Founder
- Robert T. HofmannPresident & Investment Manager
- Mark R. FrombachChief Investment Officer, Treasurer
Custody and brokerage
Broker-dealer
No broker-dealer ties
Roffman Miller Associates Inc 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 | 1,132 | $2.9B | 91% |
| Individuals | 466 | $188M | 6% |
| Corporations or other businesses | – | $109M | 3% |
Disciplinary disclosures
Roffman Miller Associates Inc 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
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗roffmanmiller.com ↗
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Similar-size RIAs in Pennsylvania
All of Pennsylvania →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Wedmont Private CapitalWest Chester | $3.4B | 496 |
| Schneider Downs Wealth Management Advisors, LPPittsburgh | $3.3B | 663 |
| Blbb AdvisorsMontgomeryville | $3.3B | 1,520 |
| Girard Advisory Services, LLCKing of Prussia | $3.2B | 2,350 |
| Gibson Capital, LLCWexford | $3.0B | 222 |
| Elm WealthPhiladelphia | $3.0B | 644 |
Background
Questions
How much does Roffman Miller Associates Inc manage?
Roffman Miller Associates Inc reports $3.2B in regulatory assets under management across 1,599 accounts, 99% of it on a discretionary basis, on its Form ADV filed August 25, 2026.
How many clients does Roffman Miller Associates Inc have?
It reports 1,598 individual clients: 1,132 high-net-worth individuals and 466 other individuals. Individuals account for about 97% of its regulatory assets.
Where is Roffman Miller Associates Inc headquartered?
Its main office is in Philadelphia, Pennsylvania. It reports 2 offices in total and 15 employees, 14 of whom perform investment advisory functions.
How does Roffman Miller Associates Inc charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Roffman Miller Associates Inc use?
It reports Charles Schwab as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed August 25, 2026, it reports these amounts held: Charles Schwab ($2.9B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Roffman Miller Associates Inc a hybrid RIA with a broker-dealer?
Roffman Miller Associates Inc reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Roffman Miller Associates Inc a fiduciary?
As an SEC-registered investment adviser, Roffman Miller Associates Inc 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 Roffman Miller Associates Inc’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 (2026-08-25), 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 →