Romano Brothers And Company
- Regulatory AUM
- $1.5B
- Discretionary
- $1.5B
- Clients
- 969
- Avg AUM / client
- $1.6M
- Accounts
- 2,078
- Employees
- 16
AUM over time
Annual snapshots from Form ADV filings · as of Feb 19, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 456 | $185M | 12.0% |
| High net worth individuals | 478 | $1.3B | 81.9% |
| Pension and profit sharing plans | 13 | $23.5M | 1.53% |
| Charitable organizations | 16 | $50.7M | 3.29% |
| Corporations and other businesses | 6 | $19.1M | 1.24% |
People (11)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Douglas Norman Geisser | Vice President | Apr 1990 (36y) | Less than 5% | |
| Joseph Richardviktory Romano | President | CFP | Jun 1998 (28y) | 50% – 75% |
| Richard Constantino Romano | Chairman | Jun 1998 (28y) | 25% – 50% | |
| Eric Arthur Bederman | Cfo/Cco | Jun 2016 (10y) | Less than 5% | |
| Deborah Lewin Cross | Registered representative | Mar 2004 (22y) | ||
| Scott M Miller | Registered representative | CFP | Oct 2013 (13y) | |
| Brett Patrick Larson | Registered representative | CFP | Oct 2013 (13y) | |
| Peter Hemwall | Registered representative | Sep 2014 (12y) | ||
| Valerie Romano Larson | Registered representative | Jul 2016 (10y) | ||
| Kyle R Munson | Registered representative | Dec 2023 (3y) | ||
| Megan Naydenova | Registered representative | Apr 2024 (2y) |
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) | 02/19/2026 | 1.04 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ALLEGED THAT ROMANO BROTHERS & CO. ("ROMANO") VIOLATED SECTION 206(4) AND 206(4)-1(A)(1) OF THE ADVISERS ACT BY CREATING VIDEOS CONTAINING CLIENT TESTIMONIALS AND POSTING THEM TO ROMANO'S WEBSITE AND YOUTUBE.COM Status: Final Sanction Detail: PAYMENT WAS REMITTED TO THE SEC ON 7/18/2018 Summary: ROMANO PROMPTLY REMOVED THE OFFENDING VIDEOS FROM ITS WEBSITE AND YOUTUBE.COM UPON NOTICE FROM THE SEC. ROMANO HAS SINCE UPDATED POLICIES AND PROCEDURES PERTAINING TO ADVERTISING REVIEW AND APPROVAL.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Wells Fargo $1.5B (97% of AUM) Feb 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: Feb 19, 2026.
View current Form ADV (SEC/IAPD) ↗