ROI FINANCIAL
ROI FINANCIAL ADVISORS, LLC Legal Name
Adviser information for ROI FINANCIAL last updated from Form ADV on March 21st, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Oregon, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,156 | $156.9M |
| Non-Discretionary | 9 | $4.7M |
| Total | 1,165 | $161.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 158 | $43.6M |
| HNW Individuals | 50 | $112.9M |
| 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 | 9 | $4.7M |
| Charitable organizations | <5 | $402,866 |
| 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 | 14 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Principal Office
14675 SW MILLIKAN WAYBEAVERTON
OR
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 503-941-5925, Fax: 503-941-5927
Chief Compliance Officer
LANCE JARL JOHNSON
MANAGING MEMBER, CEO
14675 SW MILLIKAN WAY
BEAVERTON
OR
United States
Tel:
503-941-5925
Fax:
503-941-5927
L**************@*********M
(Full email address available in API data)
Industry Affiliates
| ROI TAX LLC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| JOHNSON, LANCE, JARL | Individual | – | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER/CHIEF EXECUTIVE OFFICER | 12/2011 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 9th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ALPHABET INC | CAP STK CL A | 7M | 36K | – |
| ALPHABET INC | CAP STK CL C | 203K | 1K | – |
| AMAZON COM INC | COM | 6M | 29K | – |
| AMERIPRISE FINL INC | COM | 352K | 823 | – |
| APPLE INC | COM | 9M | 43K | – |
| ARCHER DANIELS MIDLAND CO | COM | 220K | 4K | – |
| AUTOMATIC DATA PROCESSING IN | COM | 1M | 5K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 354K | 869 | – |
| BLACKROCK INC | COM | 430K | 548 | – |
| BROADCOM INC | COM | 7M | 4K | – |
| CANADIAN NATL RY CO | COM | 2M | 15K | – |
| CHEVRON CORP NEW | COM | 521K | 3K | – |
| COCA COLA CO | COM | 1M | 23K | – |
| COCA COLA CONS INC | COM | 234K | 216 | – |
| COSTCO WHSL CORP NEW | COM | 9M | 10K | – |
| DISNEY WALT CO | COM | 227K | 2K | – |
| DOLLAR GEN CORP NEW | COM | 645K | 5K | – |
| DUKE ENERGY CORP NEW | COM NEW | 1M | 12K | – |
| ELEVANCE HEALTH INC | COM | 832K | 2K | – |
| ELI LILLY & CO | COM | 13M | 14K | – |
| FIRST TR EXCH TRADED FD III | PFD SECS INC ETF | 960K | 55K | – |
| FIRST TR EXCHANGE TRADED FD | UTILITIES ALPH | 243K | 7K | – |
| FIRST TR EXCHANGE TRADED FD | MATERIALS ALPH | 517K | 8K | – |
| FIRST TR EXCHANGE TRADED FD | FINLS ALPHADEX | 232K | 5K | – |
| FIRST TR EXCHANGE-TRADED FD | FIRST TR TA HIYL | 224K | 6K | – |
| FIRST TR MORNINGSTAR DIVID L | SHS | 3M | 72K | – |
| FLEXSHARES TR | CRE SLCT BD FD | 816K | 37K | – |
| GENERAL MLS INC | COM | 312K | 5K | – |
| HESS CORP | COM | 404K | 3K | – |
| HOME DEPOT INC | COM | 5M | 14K | – |
| IDEXX LABS INC | COM | 2M | 4K | – |
| INTEL CORP | COM | 594K | 19K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 1M | 7K | – |
| INTUIT | COM | 2M | 2K | – |
| INVESCO EXCHANGE TRADED FD T | DORSEY WRGT UTIL | 1M | 43K | – |
| ISHARES SILVER TR | ISHARES | 446K | 17K | – |
| ISHARES TR | HIGH YLD SYSTM B | 201K | 4K | – |
| JOHNSON & JOHNSON | COM | 256K | 2K | – |
| JPMORGAN CHASE & CO. | COM | 1M | 6K | – |
| KROGER CO | COM | 349K | 7K | – |
| LITHIUM AMERICAS ARGENTINA C | COM SHS | 54K | 17K | – |
| LITHIUM AMERS CORP NEW | COM SHS | 46K | 17K | – |
| LOCKHEED MARTIN CORP | COM | 1M | 3K | – |
| MASTERCARD INCORPORATED | CL A | 4M | 10K | – |
| MERCK & CO INC | COM | 2M | 14K | – |
| MICROSOFT CORP | COM | 7M | 17K | – |
| NIKE INC | CL B | 962K | 17K | – |
| NVIDIA CORPORATION | COM | 14M | 110K | – |
| ON SEMICONDUCTOR CORP | COM | 944K | 14K | – |
| PALO ALTO NETWORKS INC | COM | 5M | 14K | – |
| PEPSICO INC | COM | 223K | 1K | – |
| PROCTER AND GAMBLE CO | COM | 3M | 19K | – |
| QUALCOMM INC | COM | 237K | 1K | – |
| SPDR GOLD TR | GOLD SHS | 3M | 14K | – |
| STARBUCKS CORP | COM | 393K | 5K | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 4M | 22K | – |
| TESLA INC | COM | 819K | 4K | – |
| UNITEDHEALTH GROUP INC | COM | 3M | 5K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 447K | 894 | – |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 452K | 5K | – |
| VANGUARD INDEX FDS | MID CAP ETF | 205K | 848 | – |
| VANGUARD WORLD FD | CONSUM STP ETF | 1M | 5K | – |
| VISA INC | COM CL A | 4M | 17K | – |
| WALMART INC | COM | 2M | 35K | – |