Roger Wittlin Investment Advisory, Llc
- Regulatory AUM
- $348M
- Discretionary
- $192M
- Clients
- 16
- Avg AUM / client
- $21.8M
- Accounts
- 49
- Employees
- 4
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 23, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 14 | $300M | 86.1% |
| Corporations and other businesses | 2 | $48.4M | 13.9% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Roger Lowell Wittlin | Chief Compliance Officer/ Managing Member/Investment Advisor Representative | Sep 2017 (9y) | 75% or more | |
| Tyler Rumbaugh | Registered representative | Jan 2025 (2y) | ||
| Nicholas Dolan Reynolds | Registered representative | Mar 2026 (0y) |
Undisclosed: 0% – 25% 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/23/2026 | 903 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
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $164M (47% of AUM) Mar 2026
- Merrill Lynch $45.0M (12% of AUM) Mar 2025
- RBC $40.0M (11% of AUM) Mar 2025
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 23, 2026.
View current Form ADV (SEC/IAPD) ↗