D.B. Root & Company, Llc
- Regulatory AUM
- $952M
- Discretionary
- $952M
- Clients
- 777
- Avg AUM / client
- $1.2M
- Accounts
- 2,654
- Employees
- 22
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 648 | $396M | 41.5% |
| High net worth individuals | 95 | $457M | 48.0% |
| Banking or thrift institutions | 0 | $0 | — |
| Pension and profit sharing plans | 22 | $33.9M | 3.56% |
| Charitable organizations | 5 | $7.8M | 0.82% |
| State or municipal government entities | 1 | $186K | 0.02% |
| Other investment advisers | 0 | $0 | — |
| Insurance companies | 0 | $0 | — |
| Sovereign wealth funds and foreign official institutions | 0 | $0 | — |
| Corporations and other businesses | 6 | $57.8M | 6.07% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Orthopedic Care Partners 401(k) And Profit Sharing Plan Orthopedic Care Partners Management Llc | 2024 | |
| Atrium Staffing 401(k) Plan Atrium Staffing Services Ltd. | 2024 |
People (17)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Bond Root | Chief Executive Officer And Elected Manager | CFP | Aug 2015 (11y) | ≈ 56.25% – 100% via D.B. Root Management, Inc. |
| Ostrowski, Heather, Ann | Chief Financial Officer | Aug 2015 (11y) | Less than 5% | |
| Michael J Aroesty | Chief Investment Officer | CFP | Oct 2015 (11y) | Less than 5% |
| Zarnich, Dana, Lee | Chief Compliance Officer | Mar 2021 (5y) | Less than 5% | |
| Jesse B Root | Chief Operating Officer | CFA | Jan 2024 (3y) | Less than 5% |
| Charles Janssens Stout | Registered representative | Oct 2015 (11y) | ||
| Steven Martin Kohler | Registered representative | CFP | Oct 2015 (11y) | |
| Jeremy Lee Suschak | Registered representative | CFP | Feb 2016 (11y) | |
| Adam M Souply | Registered representative | CFA | Sep 2016 (10y) | |
| Nancy Israel Kunz | Registered representative | CFP Chartered Financial Consultant | Jan 2018 (9y) | |
| Richard Read Applegate | Registered representative | Chartered Financial Consultant | Jan 2018 (9y) | |
| Taylor Kathryn Glock | Registered representative | Dec 2021 (5y) | ||
| Loraine Ziegler Montanye | Registered representative | CFP | Jun 2022 (4y) | |
| Alec F Root | Registered representative | CFA | Jun 2022 (4y) | |
| Curtis Westphal Hart | Registered representative | Mar 2024 (2y) | ||
| Robert William Holler | Registered representative | Apr 2024 (2y) | ||
| Ryan Harrington Grove | Registered representative | Mar 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| D.B. Root Management, Inc. | Parent Holding Company | Jul 2017 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- David Bond Root: 75% – 100% of D.B. Root Management, Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
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 |
|---|---|---|---|---|
| Orthopedic Care Partners 401(k) And Profit Sharing Plan | Orthopedic Care Partners Management Llc | 1,464 | $161M | 01/01/2024 |
| Atrium Staffing 401(k) Plan | Atrium Staffing Services Ltd. | 3,739 | $29.1M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/25/2026 | 996 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
- • Fixed fees
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $737M (77% of AUM) Jun 2026
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 25, 2026.
View current Form ADV (SEC/IAPD) ↗