Rtw Financial Advisors Inc
- Regulatory AUM
- $581M
- Discretionary
- $545M
- Clients
- 182
- Avg AUM / client
- $3.2M
- Accounts
- 521
- Employees
- 11
AUM over time
Annual snapshots from Form ADV filings · as of Jun 22, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 93 | $34.0M | 5.85% |
| High net worth individuals | 85 | $468M | 80.5% |
| Pension and profit sharing plans | 2 | $69.3M | 11.9% |
| Charitable organizations | 2 | $9.8M | 1.69% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Affiliated Pension Plan Petro Hunt, L.L.C. | 2024 | |
| Heat & Frost & Allied Workers No. 21 Pension Plan International Assoc. Of Heat & Frost Insulators & Asbestos Workers No. | 2024 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Morris C Williams | Treasurer, Chief Compliance Officer | Jan 1991 (36y) | 25% – 50% | |
| Peter Howard Roe | President | Jan 1991 (36y) | 25% – 50% | |
| Stephen Tyler Mckimmey | Registered representative | CFP | Apr 2026 (0y) |
Undisclosed: 0% – 50% 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 (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Affiliated Pension Plan | Petro Hunt, L.L.C. | 81 | $95.9M | 01/01/2024 |
| Heat & Frost & Allied Workers No. 21 Pension Plan | International Assoc. Of Heat & Frost Insulators & Asbestos Workers No. | 64 | $19.7M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/22/2026 | 933 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
- • Hourly charges
- • Fixed fees
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Hilltop Securities Inc. $522M (90% of AUM) Jun 2026
- Hilltop Securities Independent Network Inc. $255M (92% of AUM) Mar 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Jun 22, 2026.
View current Form ADV (SEC/IAPD) ↗