Wealth manager, independent · Dallas, TX
RTW Financial Advisors Inc
SEC-registered investment adviser · CRD 109934 · SEC 801-38676
At a glance
RTW Financial Advisors Inc is an SEC-registered investment adviser based in Dallas, Texas, with $581 million in regulatory assets under management as of its Form ADV filed June 22, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 178 individual clients. By Form ADV it is a wealth manager, ranked 2,556th of 8,915 wealth managers and 7,224th of 17,210 SEC-registered advisers by assets.
Main office 972-960-1212As filed on Form ADV
- Regulatory AUM
- $581M
- Rank among wealth managers
- #2,556 of 8,915
- Rank among all SEC RIAs
- #7,224 of 17,210
- Rank in Texas
- #463 of 1,081
- Individual clients
- 178
- High-net-worth clients
- 85
- Accounts
- 521
- Discretionary
- 94% of AUM
- Employees
- 11
- Advisory staff
- 3
- Offices
- 1
Owners and executives on its Form ADV
- Peter H. RoeVice President
- Morris C WilliamsTreasurer
- Stephen T. McKimmeyPresident
- Joshua T. JonesChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
RTW Financial Advisors Inc is a hybrid RIA: 3 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed May 2026) names Momentum Independent Network, an unaffiliated broker-dealer, as the broker-dealer its advisers are registered with.
Item 10, certain representatives of RTW, in their individual capacities, are associated with Momentum Independent Network as broker-dealer registered representatives (“Dually Registered Persons”).
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 85 | $468M | 81% |
| Pension and profit sharing plans | 2 | $69M | 12% |
| Individuals | 93 | $34M | 6% |
| Charitable organizations | 2 | $10M | 2% |
Disciplinary disclosures
RTW Financial Advisors 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
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on RTW Financial Advisors Inc
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
- Locked
- Growth over one, three and five years
- Locked
- Rank against 5,011 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does RTW Financial Advisors Inc manage?
RTW Financial Advisors Inc reports $581 million in regulatory assets under management across 521 accounts, 94% of it on a discretionary basis, on its Form ADV filed June 22, 2026.
What kind of firm is RTW Financial Advisors Inc?
RTW Financial Advisors Inc is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are RTW Financial Advisors Inc’s clients?
By assets, its largest client types are high-net-worth individuals ($468 million, 85 clients); pension and profit sharing plans ($69 million, 2 clients); individuals ($34 million, 93 clients).
Does RTW Financial Advisors Inc have any disciplinary history?
RTW Financial Advisors Inc reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is RTW Financial Advisors 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 (2026-06-22), 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). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. 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 →