Roman Retirement Planning, Llc
State-registered
Insurance-Affiliated · Boutique (under $100M)
CRD 306871
· Mashpee, MA
· www.linkedin.com
☆ Save with Pro
ADV data as of Mar 20, 2026
- Regulatory AUM
- $66.4M
- Discretionary
- $66.0M
- Clients
- 151
- Avg AUM / client
- $440K
- Accounts
- 358
- Employees
- 3
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 131 | $34.4M | 51.8% |
| High net worth individuals | 19 | $31.7M | 47.7% |
| Pension and profit sharing plans | 1 | $338K | 0.51% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Susan Johanna Roman | Registered representative | CFP | Feb 2020 (7y) | |
| Maureen Lynch Brosnan | Registered representative | May 2022 (4y) |
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) | 03/20/2026 | 985 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
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $64.8M (98% 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 20, 2026.
View current Form ADV (SEC/IAPD) ↗