{"url":"https://nivawealth.com/firms/roberts-wealth-advisors-308827","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/308827","regulatoryAum":445994091,"crd":"308827","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7407290","suffix":null,"lastName":"Herman","firstName":"Suzanne","middleName":"Marie"},{"crd":"4458697","suffix":null,"lastName":"ROBERTS","firstName":"BRIAN","middleName":"PATRICK"},{"crd":"6118984","suffix":null,"lastName":"WALSH","firstName":"RYAN","middleName":"WILLIAM"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-07-15","regulatoryAum":225270369,"clients":87,"employees":4,"offices":3},{"filedOn":"2022-03-15","regulatoryAum":299061230,"clients":283,"employees":6,"offices":2},{"filedOn":"2023-03-09","regulatoryAum":253691947,"clients":114,"employees":5,"offices":2},{"filedOn":"2024-03-12","regulatoryAum":306073053,"clients":126,"employees":6,"offices":2},{"filedOn":"2025-03-25","regulatoryAum":385388641,"clients":140,"employees":6,"offices":2},{"filedOn":"2026-03-17","regulatoryAum":445994091,"clients":150,"employees":6,"offices":2}],"secFileNumber":"801-118928","legalName":"Roberts Wealth Advisors, LLC","displayName":"Roberts Wealth Advisors","slug":"roberts-wealth-advisors-308827","website":"https://roberts-wa.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/308827/1d0735a08e9c1273-r1.webp","tone":"light","width":648,"height":200,"sourceUrl":"https://roberts-wa.com/","sourceLabel":"Roberts Wealth Advisors, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/roberts-wa","founded":"2020","organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"611 Santa Cruz Avenue, Suite 203","city":"Menlo Park","state":"CA","stateName":"California","country":"United States","postalCode":"94025"},"tradeNames":[],"registration":{"secApproved":"15 June 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2774585.191780822,"staff":{"employees":6,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":445994091,"discretionary":445994091,"discretionaryAccounts":450,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":20,"regulatoryAum":8367606},{"label":"High-net-worth individuals","clients":126,"regulatoryAum":396721832},{"label":"Pension and profit-sharing plans","clients":1,"fewerThan5":true,"regulatoryAum":12018161},{"label":"Other investment advisers","clients":2,"fewerThan5":true,"regulatoryAum":8316544},{"label":"Corporations and other businesses","clients":1,"fewerThan5":true,"regulatoryAum":20569948}],"feePrograms":[{"role":"main","program":"Comprehensive Portfolio Management","feeBasis":"marginal","fee_tiers":[{"to":3000000,"pct":1,"from":0},{"to":5000000,"pct":0.75,"from":3000000},{"to":17500000,"pct":0.5,"from":5000000},{"to":null,"pct":0.25,"from":17500000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1020507","versionId":1020507,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-17","documentName":"ADV PART 2A- ROBERTS WEALTH ADVISORS, LLC","fee_rate_low":0.25,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning and Consulting","summary":"Hourly or flat fee; the hourly fee will not exceed $450 and flat fees will not exceed $10,000.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1020507","versionId":1020507,"submittedOn":"2026-03-17","documentName":"ADV PART 2A- ROBERTS WEALTH ADVISORS, LLC"},{"role":"other","program":"Retirement Plan Consulting","summary":"Hourly or flat fee, or a fee on plan assets; hourly fee up to $450, plan asset fee up to 1.00%.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1020507","versionId":1020507,"submittedOn":"2026-03-17","documentName":"ADV PART 2A- ROBERTS WEALTH ADVISORS, LLC"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T10:52:21.294904+00:00","documents":[{"name":"ADV PART 2A- ROBERTS WEALTH ADVISORS, LLC","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1020507","versionId":1020507,"submittedOn":"2026-03-17"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":399725819}],"custodyNote":"Roberts Wealth Advisors has custody of $88.9M in client assets for 50 clients.","otherCustodians":[],"leadership":[{"name":"Brian Roberts","title":"Managing Member & Chief Compliance Officer","crd":"4458697"},{"name":"Suzanne Herman","title":"Partner","crd":"7407290"}],"ownership":[{"label":"Brian Roberts","detail":"Managing member & chief compliance officer in the 75% or more ownership band and a control person, since May 2020."},{"label":"Suzanne Herman","detail":"Partner in the 10% to 25% ownership band and a control person, since January 2026."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"611 Santa Cruz Avenue, Suite 203","city":"Menlo Park","headquarters":true}]},{"state":"Utah","offices":1,"addresses":[{"street":"1245 Deer Valley Drive","city":"Park City"}]}],"brochureServices":["education planning","estate planning","insurance","philanthropic planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"650-240-2410","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":75},{"label":"U.S. government/agency bonds","percent":9},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":12},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"17 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/308827/PDF/308827.pdf","brochureDate":"17 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1020507","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Roberts Wealth Advisors have?","answer":"Roberts Wealth Advisors has 150 clients and manages $446 million for them, as of March 2026. They include 126 high-net-worth individuals, 20 individual clients and 2 other investment advisers.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 17 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Roberts Wealth Advisors offer?","answer":"Roberts Wealth Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, education planning, estate planning, insurance, philanthropic planning, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Roberts Wealth Advisors charge?","answer":"Roberts Wealth Advisors charges 0.25%–1.00% a year for its Comprehensive Portfolio Management. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.","source":"ADV PART 2A- ROBERTS WEALTH ADVISORS, LLC, filed 17 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Roberts Wealth Advisors use?","answer":"Roberts Wealth Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $400M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 17 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Roberts Wealth Advisors have?","answer":"Roberts Wealth Advisors has 3 investment adviser representatives registered with state securities authorities, out of 6 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Roberts Wealth Advisors invest in?","answer":"At the end of its last fiscal year, Roberts Wealth Advisors’ separately managed accounts held 75% exchange-traded equities, 12% registered funds (mutual funds, ETFs, BDCs), 9% U.S. government and agency bonds, 2% investment grade corporate bonds, 1% state and local bonds and 1% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Roberts Wealth Advisors?","answer":"Roberts Wealth Advisors’ direct owners are Brian Roberts (75% or more) and Suzanne Herman (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 17 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Roberts Wealth Advisors get paid?","answer":"Roberts Wealth Advisors is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Roberts Wealth Advisors?","answer":"Roberts Wealth Advisors’ main office is at 611 Santa Cruz Avenue, Suite 203, Menlo Park, CA 94025. Its phone number is 650-240-2410. Its website is roberts-wa.com.","source":"Form ADV Part 1A, Item 1.F, filed 17 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}