ROMANO BROTHERS AND COMPANY

CRD

3215

SEC file #

801-27061

EIN

362659240

DBA names

Romano Wealth Management

Economics

AUM

$1.54B

AUM band

$1B+

AUM trajectory

'20 · $860.0M

'21 · $987.9M

'22 · $1.09B

'23 · $1.25B

'25 · $1.39B

'26 · $1.54B

'20'26

$860.0M → $1.54B▲ +79%

sec adv history

Client mix

Individuals High Net Worth	478
Individuals Other	456
Charitable Organizations	16
Pension Profit Sharing Plans	13
Corporations	6

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 10 advisors

'21 · 9 advisors

'22 · 9 advisors

'23 · 10 advisors

'25 · 8 advisors

'26 · 9 advisors

'20'26

10 advisors → 9 advisors▼ -10%

sec adv history

Primary office

EVANSTON IL

Branches

—

Custodian & Brokerage

Primary custodian

Wells Fargolow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individuals

Fee basis

% of AUMFixed fees

Filings

Latest ADV filing

02/19/2026

ADV-W filed at

—

Website

romanowealth.com

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

ROMANO, JOSEPH RICHARDVIKTORY

Top Owner Pct

62.5

Top Owner Entity Kind

Owner Count

Control Persons

ROMANO, JOSEPH RICHARDVIKTORY

ROMANO, RICHARD CONSTANTINO

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

ROMANOWEALTH.COM

Rdap Domain Creation Date

2011-11-18T17:03:42Z

Rdap Firm Age Years

Rdap Firm Age Band

10-20y

Rdap Registrar

Network Solutions, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book

Yes

Form 5500 Plan Count

Form 5500 Total Participants

Form 5500 Compensation Trajectory 3y

2024

Form 5500 Plan Count Trajectory 3y

2024

Schedule C Service Provider Rows

SEC EDGAR

Edgar Cik

0000200648

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2002-11-27

Edgar Last Filing Date

2026-04-22

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-04-22

Accession0001754960-26-000305

Edgar Former Names

ROMANO BROTHERS & CO /BD

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score

0.4333

Soi Zip Pct 200k Plus

0.2397

Soi Zip Returns 200k Plus

4,310

Soi Zip Total AGI

3,397,542

Fdic Zip Total Deposits

48,062,547,000

Fdic Zip Branch Count

346

Fdic Zip Top Banks

JPMorgan Chase Bank, National Association

First Bank & Trust

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (27)

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

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Wells Fargo	4
E*trade	4

adv brochure

Edgar Addresses

Mailing

1560 SHERMAN AVENUESUITE 1300EVANSTON, IL 60201

Business

1560 SHERMAN AVENUESUITE 1300EVANSTON, IL 60201

Edgar EIN

362659240

Edgar Recent Filings

13F-HR2026-04-22 · 0001754960-26-000305

X-17A-52026-02-27 · 0000200648-26-000002

Fdic Zip Branches Raw

Home Savings of America, FSBEvanston, IL

The First National Bank of ChicagoEvanston, IL

Fdic Zip HHI

1623.61

Fdic Zip Top Bank Share Pct

32.74

Fdic Zip Year

2025

Firm Has Custody

Yes

Mailing Office Differs

Rdap Domain Expiration Date

2026-11-18T17:03:42Z

Rdap Domain Last Changed

2025-05-14T23:46:50Z

Rdap Nameservers

Kipp.ns.cloudflare.comKira.ns.cloudflare.com

Rdap Secure Dns Enabled

Rdap Status

Client Transfer Prohibited

Soi Year

2022

Soi Zip Distribution

Stub 1

AGI	45,610
Returns	4,230

Stub 2

AGI	99,227
Returns	2,670

Stub 3

AGI	113,594
Returns	1,830

Soi Zip Total Business Income

104,158

Soi Zip Total Cap Gains

341,481

Soi Zip Total Dividends

195,063

Soi Zip Total Returns

17,980

Top Owner CRD

2659164

Trust Company Affiliate