RTW FINANCIAL ADVISORS INC
Adviser information for RTW FINANCIAL ADVISORS INC last updated from Form ADV on March 29th, 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 | Texas, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| 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 | 472 | $442.2M |
| Non-Discretionary | 23 | $29.9M |
| Total | 495 | $472.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 107 | $70.5M |
| HNW Individuals | 50 | $338.8M |
| 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 | <5 | $60.1M |
| Charitable organizations | <5 | $2.1M |
| 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 | <5 | $632,819 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
Identifiers
| SEC RIA File Number | 801-38676 |
|---|---|
| SEC ERA File Number | 801-38676 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109934 |
| Legal Entity Identifier | None |
Principal Office
5757 ALPHA ROADSUITE 700
DALLAS
TX
United States
Monday - Friday, 8AM TO 5PM
Tel: 972-960-1212, Fax: 972-960-1211
Chief Compliance Officer
MORRIS C. 'KIT' WILLIAMS
TREASURER
5757 ALPHA ROAD
SUITE 700
DALLAS
TX
United States
Tel:
972-960-1212
Fax:
972-960-1211
K***********@********M
(Full email address available in API data)
Regulatory Contact
PETER H. ROE
PRESIDENT
5757 ALPHA ROAD
SUITE 700
DALLAS
TX
United States
Tel:
972-960-1212
Fax:
(972) 960-1211
P****@********M
(Full email address available in API data)
Industry Affiliates
| MORRIS C. WILLAIMS & ASSOC. P.C.5757 ALPHA ROAD, SUITE 700 DALLAS, TX 75240 | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROE, PETER, HOWARD | Individual | – | PRESIDENT | 01/1991 | 25-50% |
| WILLIAMS, MORRIS, C | Individual | – | TREASURER, CHIEF COMPLIANCE OFFICER | 01/1991 | 25-50% |