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RTW FINANCIAL ADVISORS INC

B55
CRD 109934·SEC 801-38676·DALLAS, TX
AUM
$581.0M
$500M-$1B
Est. Revenue
$5.8M
@ 1% on AUM
Est. EBITDA
$1.7M
@ 30% margin
Est. Deal Value
$13.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
RTW FINANCIAL ADVISORS INC
CRD
109934
SEC file #
801-38676
EIN
—
DBA names
—

Economics

AUM
$581.0M
AUM band
$500M-$1B
AUM trajectory
'20'26
$278.3M → $581.0M▲ +109%
Client mix
Individuals Other93
Individuals High Net Worth85
Pension Profit Sharing Plans2
Charitable Organizations2

Operations

Employees (total)
11
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
5 advisors → 3 advisors▼ -40%
Primary office
DALLAS TX
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisers
Fee basis
% of AUMHourly chargesFixed feesCommissions

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
ROE, PETER, HOWARD
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
ROE, PETER, HOWARD
WILLIAMS, MORRIS, C
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
2
Form 5500 Total Compensation
192,930
Form 5500 Compensation Trajectory 3y
2025192,930
Form 5500 Plan Count Trajectory 3y
20252
Schedule C Total Compensation
192,930
Schedule C Service Provider Rows
2

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
2
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
E*trade4
Hilltop Securities2
Firm Has Custody
No
Mailing Office Differs
No
Top Owner CRD
1013354
Trust Company Affiliate
No

People (3)

3
WILLIAMS, MORRIS, C
IAR · Direct Owner · 37.5%
1054320
ROE, PETER, HOWARD
IAR · Direct Owner · 37.5%
1013354
MCKIMMEY, STEPHEN, TYLER
IAR · Executive Officer · 2.5%
6231012