ROTH FINANCIAL PARTNERS LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Texas, United States

Employees

Total Number of Employees	4
Investment Advisory/Research	3
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	3
Licensed Agents of an Insurance Company	1
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	721	$363.0M
Non-Discretionary	0	$0
Total	721	$363.0M

Clients

Type	Number	RAUM
Individuals	128	$49.2M
HNW Individuals	139	$312.9M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	0	$0
Charitable organizations	0	$0
State or municipal gov entities	<5	$924,394
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	0	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	251-500

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients
Compensation	% of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	16.8M
Both for Same	0

Portfolio Manager to Program	Sponsor
RAYMOND JAMES CONSULTING SERVICES	RAYMOND JAMES & ASSOCIATES, INC.

Identifiers

SEC RIA File Number	801-119326
SEC ERA File Number	801-119326
SEC CIK Numbers	1840888
SEC CRD Numbers	309814
Legal Entity Identifier	None

Principal Office

855 ROCKMEAD DRIVE
SUITE 703
KINGWOOD
TX
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic