Roffman Milller Associates Inc
- Regulatory AUM
- $3.2B
- Discretionary
- $3.2B
- Clients
- 1,598
- Avg AUM / client
- $2.0M
- Accounts
- 1,599
- Employees
- 15
AUM over time
Annual snapshots from Form ADV filings · as of Mar 26, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 466 | $188M | 5.86% |
| High net worth individuals | 1,132 | $2.9B | 90.7% |
| Corporations and other businesses | 0 | $109M | 3.4% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Schwabplan Retirement Savings And Investment Plan The Charles Schwab Corporation | 2024 |
People (17)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Robert Peters Miller | Chairman And Founder | Oct 1990 (36y) | 5% – 10% | |
| Gorin, Roy, L. | Director | May 1995 (31y) | Less than 5% | |
| Paulette Greenwell | Vice President, Secretary, Chief Compliance Officer | CFA | Sep 1997 (29y) | 25% – 50% |
| Robert Thomas Hofmann | President & Investment Manager | CFP | Apr 2005 (21y) | 25% – 50% |
| Mark Richard Frombach | Chief Investment Officer, Treasurer | CFA | Nov 2006 (20y) | 10% – 25% |
| Lori Ann Hartman | Registered representative | Sep 2005 (21y) | ||
| Ryan Timothy Crooks | Registered representative | May 2008 (18y) | ||
| Susan Lynn Arnold | Registered representative | Aug 2008 (18y) | ||
| Kevin Joseph Cooke | Registered representative | CFP | Mar 2014 (12y) | |
| Gerard George Guertin | Registered representative | Chartered Financial Consultant | Sep 2016 (10y) | |
| Earl R. Miller | Registered representative | Nov 2018 (8y) | ||
| Martin Jeffrey Moyers | Registered representative | CFP | Apr 2020 (6y) | |
| David Gradzki | Registered representative | CFP | Nov 2021 (5y) | |
| Andrew Damico | Registered representative | CFA | Mar 2022 (4y) | |
| Peter F Gaertner | Registered representative | CFP | Feb 2024 (2y) | |
| Robert Allan Riegen | Registered representative | CFP | Sep 2024 (2y) | |
| Cole R. Hofmann | Registered representative | Jun 2025 (1y) |
Undisclosed: 0% – 35% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Schwabplan Retirement Savings And Investment Plan | The Charles Schwab Corporation | 32,145 | $8.9B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/26/2026 | 914 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $2.9B (91% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 26, 2026.
View current Form ADV (SEC/IAPD) ↗