SourcingSourcing

ROOTED FINANCIAL GROUP, LLC

B53
CRD 335302·SEC 801-132354·TIGARD, OR
AUM
$108.7M
$100M-$500M
Est. Revenue
$1.1M
@ 1% on AUM
Est. EBITDA
$326K
@ 30% margin
Est. Deal Value
$2.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
ROOTED FINANCIAL GROUP, LLC
CRD
335302
SEC file #
801-132354
EIN
—
DBA names
—

Economics

AUM
$108.7M
AUM band
$100M-$500M
AUM trajectory
'25'26
$100.4M → $108.7M▲ +8%
Client mix
Individuals Other234
Individuals High Net Worth20

Operations

Employees (total)
3
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'25'26
1 advisors → 2 advisors▲ +100%
Primary office
TIGARD OR
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individuals
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
04/28/2026
ADV-W filed at
—
Website
facebook.com/profile.php?id=61577775143163(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
ROOTED FINANCIAL GROUP, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
ROOTED FINANCIAL GROUP, LLC
SWAYZE, ASHLEIGH, COOPER
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:rooted.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.3216
Soi Zip Pct 200k Plus
0.1053
Soi Zip Returns 200k Plus
2,640
Soi Zip Total AGI
2,585,515
Fdic Zip Total Deposits
19,260,821,000
Fdic Zip Branch Count
390
Fdic Zip Top Banks
Wells Fargo Bank, National Association
Bank of America, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (19)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
E*trade4
Fdic Zip Branches Raw
Bank of America OregonPortland, OR
Bank of America OregonTigard, OR
Fdic Zip HHI
1673.61
Fdic Zip Top Bank Share Pct
33.47
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI64,559
Returns5,300
Stub 2
AGI197,762
Returns5,270
Stub 3
AGI229,819
Returns3,730
Soi Zip Total Business Income
86,380
Soi Zip Total Cap Gains
87,691
Soi Zip Total Dividends
42,332
Soi Zip Total Returns
25,060
Top Owner CRD
335302
Trust Company Affiliate
No

People (4)

4
ROOTED FINANCIAL GROUP, LLC
Direct Owner · 87.5%
335302
Walker, Thomas, A
IAR · Executive Officer · 2.5%
5302443
ASHLEIGH COOPER SWAYZE
Executive Officer · 2.5%
4632543
Miles Andrew Corrigan
IAR
8179021