Hedge Fund Database

ROOTED WEALTH ADVISORS

ROOTED WEALTH ADVISORS, INC. Legal Name

Adviser information for ROOTED WEALTH ADVISORS last updated from Form ADV on March 9th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location Illinois, United States

Employees

Total Number of Employees 8
Investment Advisory/Research 6
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 6
Licensed Agents of an Insurance Company 3
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,909 $223.0M
Non-Discretionary 0 $0
Total 1,909 $223.0M

Clients

Type Number RAUM
Individuals 713 $129.2M
HNW Individuals 65 $93.9M
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 0 $0
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 3
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 1000

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businesses
Compensation % of AUM
Other Business Activities Insurance broker or agent

Identifiers

SEC RIA File Number 801-121129
SEC ERA File Number 801-121129
SEC CIK Numbers 1963732
SEC CRD Numbers 313759
Legal Entity Identifier None

Principal Office

1521 N. CONVENT, SUITE 800
BOURBONNAIS
IL
United States
Monday - Friday, 8:00AM TO 5:00PM
Tel: 815-918-4727, Fax: None

Websites

playbook4retirement.com/ retirementincomechecklist.com/ retirementsummitguide.com/ retirementtaxstrategy.com/ www.rightrecipeforretirement.com/ rootedretirement.com/ www.youtube.com/channel/ucgrvpqxpatzzu4dz87bclag www.facebook.com/rootedwealthadvisors/ www.linkedin.com/company/rootedwealthadvisors www.instagram.com/rooted_retirement/ willyourmoneylast.com/ stayorretire.com/ thesocialsecuritydecisions.com/ www.changingstoryofretirement.com/ www.diggingintoyourretirement.com/ greenerwaytoretire.com/ healthyretirementguide.com/ marketcorrectionguide.com/ downmarketguide.com/ www.retirementtaxesguide.com www.retirerwa.com www.rootedretirement.org www.rootedroad2retirement.com www.taxreductionreport.com www.thegoodneighborretirement.com

Chief Compliance Officer

JEFFREY KELVIN
1521 N. CONVENT
SUITE 800
BOURBONNAIS
IL
United States
Tel: 815-545-1498
(Full email address available in API data)

Regulatory Contact

HILDA MIRANDA
DIRECTOR OF OPERATIONS
1521 N. CONVENT
SUITE 800
BOURBONNAIS
IL
United States
Tel: 815-918-4727
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
GRAY, ZACHARY, BLAKE Individual – PRESIDENT 10/2016 > 75%
KELVIN, JEFFREY Individual – CHIEF COMPLIANCE OFFICER 10/2023 < 5%
Gray, Jenna Individual – VP, STRATEGY & GROWTH 11/2023 < 5%

No. Employees, Historic

1050202120222023202420258 on 4/2/20218 on 5/13/20218 on 8/30/20218 on 3/14/20228 on 2/1/20238 on 7/6/20238 on 7/11/20238 on 1/3/20248 on 3/9/2024

RAUM, Historic

300M150M0202120222023202420250 on 4/2/20210 on 5/13/2021133007010 on 8/30/2021153072797 on 3/14/2022163317397 on 2/1/2023163317397 on 7/6/2023163317397 on 7/11/2023163317397 on 1/3/2024223035595 on 3/9/2024

No. Clients, Historic

8004000202120222023202420250 on 4/2/20210 on 5/13/2021339 on 8/30/2021710 on 3/14/2022607 on 2/1/2023607 on 7/6/2023607 on 7/11/2023607 on 1/3/2024778 on 3/9/2024

Holdings

From latest 13F, filed July 25th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ALPHABET INC CAP STK CL A 1K 7K 0
ALPHABET INC CAP STK CL C 335 2K 0
AMAZON COM INC COM 1K 7K 0
APPLE INC COM 3K 14K 0
APPLIED MATLS INC COM 335 2K 0
ARK ETF TR AUTNMUS TECHNLGY 1K 24K 0
BANK AMERICA CORP COM 238 6K 0
BROADCOM INC COM 358 2K 0
CATERPILLAR INC COM 1K 3K 0
COSTCO WHSL CORP NEW COM 282 336 0
DIMENSIONAL ETF TRUST US TARGETED VLU 2K 41K 0
DIREXION SHS ETF TR AUSPCE CMD STG 642 22K 0
ELI LILLY & CO COM 437 515 0
EXXON MOBIL CORP COM 286 2K 0
FIDELITY MERRIMACK STR TR TOTAL BD ETF 18K 387K 0
FIRST TR EXCH TRADED FD III SHRT DUR MNG MUN 233 12K 0
FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 1K 7K 0
FRANKLIN TEMPLETON ETF TR SENIOR LOAN ETF 819 34K 0
GLOBAL X FDS NASDAQ 100 COVER 187 10K 0
GLOBAL X FDS US PFD ETF 269 14K 0
HERSHEY CO COM 246 1K 0
INVESCO EXCH TRADED FD TR II NASDAQ 100 ETF 3K 17K 0
INVESCO EXCH TRD SLF IDX FD RUSL 1000 DYNM 12K 231K 0
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 885 5K 0
INVESCO QQQ TR UNIT SER 1 333 694 0
ISHARES GOLD TR SHARES REPRESENT 636 26K 0
ISHARES INC CORE MSCI EMKT 568 10K 0
ISHARES SILVER TR ISHARES 870 32K 0
ISHARES TR NATIONAL MUN ETF 1K 12K 0
ISHARES TR CORE MSCI TOTAL 12K 180K 0
ISHARES TR CORE S&P US GWT 9K 67K 0
ISHARES TR 1 3 YR TREAS BD 1K 18K 0
ISHARES TR JPMORGAN USD EMG 3K 30K 0
ISHARES TR CORE S&P SCP ETF 3K 23K 0
ISHARES TR CORE DIV GRWTH 9K 143K 0
ISHARES TR CORE LT USDB ETF 3K 64K 0
ISHARES TR IBOXX HI YD ETF 416 5K 0
ISHARES TR CORE 1 5 YR USD 6K 117K 0
ISHARES TR RUS TP200 GR ETF 351 2K 0
ISHARES TR CORE S&P500 ETF 531 955 0
ISHARES TR 0-5YR HI YL CP 3K 63K 0
ISHARES TR 20 YR TR BD ETF 680 7K 0
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 10K 175K 0
J P MORGAN EXCHANGE TRADED F ULTRA SHT MUNCPL 1K 21K 0
JPMORGAN CHASE & CO. COM 204 972 0
LINDE PLC SHS 335 752 0
MASTERCARD INCORPORATED CL A 228 508 0
MCDONALDS CORP COM 433 2K 0
META PLATFORMS INC CL A 909 2K 0
MICROSOFT CORP COM 3K 6K 0
NETFLIX INC COM 265 412 0
NVIDIA CORPORATION COM 2K 15K 0
OLD DOMINION FREIGHT LINE IN COM 213 1K 0
PEPSICO INC COM 495 3K 0
PROCTER AND GAMBLE CO COM 389 2K 0
SCHWAB STRATEGIC TR US REIT ETF 674 32K 0
SELECT SECTOR SPDR TR SBI CONS STPLS 5K 66K 0
SELECT SECTOR SPDR TR RL EST SEL SEC 292 7K 0
SPDR GOLD TR GOLD SHS 240 1K 0
SPDR INDEX SHS FDS PORTFOLIO EMG MK 778 20K 0
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 673 19K 0
SPDR SER TR PRTFLO S&P500 GW 9K 109K 0
SPDR SER TR PORTFOLIO AGRGTE 1K 43K 0
SPDR SER TR S&P BIOTECH 1K 15K 0
SPDR SER TR PORTFOLIO S&P500 2K 27K 0
SSGA ACTIVE ETF TR BLACKSTONE SENR 2K 43K 0
TESLA INC COM 658 3K 0
VANECK ETF TRUST MRNGSTR WDE MOAT 6K 68K 0
VANECK ETF TRUST HIGH YLD MUNIETF 1K 20K 0
VANGUARD BD INDEX FDS TOTAL BND MRKT 207 3K 0
VANGUARD INDEX FDS MID CAP ETF 3K 10K 0
VANGUARD INDEX FDS S&P 500 ETF SHS 38K 75K 0
VANGUARD INDEX FDS SM CP VAL ETF 422 2K 0
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 2K 51K 0
VANGUARD SCOTTSDALE FDS LG-TERM COR BD 321 4K 0
VANGUARD SCOTTSDALE FDS INT-TERM CORP 7K 85K 0
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 3K 36K 0
VANGUARD SPECIALIZED FUNDS DIV APP ETF 7K 40K 0
VANGUARD STAR FDS VG TL INTL STK F 547 9K 0
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 613 12K 0
VANGUARD WHITEHALL FDS HIGH DIV YLD 6K 47K 0
WALMART INC COM 307 4K 0
WISDOMTREE TR US TOTAL DIVIDND 295 4K 0
WISDOMTREE TR US QTLY DIV GRT 244 3K 0
WISDOMTREE TR CURRNCY INT EQ 3K 73K 0
WISDOMTREE TR US MIDCAP DIVID 2K 46K 0