{"url":"https://nivawealth.com/firms/rockwall-wealth-management-339856","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/339856","regulatoryAum":305459947,"crd":"339856","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1676153","suffix":null,"lastName":"DIRKSE","firstName":"RICHARD","middleName":"PAUL"},{"crd":"6817425","suffix":null,"lastName":"HART","firstName":"JACE","middleName":"RAY"},{"crd":"7253539","suffix":null,"lastName":"Sneed","firstName":"Renee","middleName":"Elizabeth Dirkse"}],"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"},"secFileNumber":"801-135636","legalName":"Rockwall Wealth Management Inc","displayName":"Rockwall Wealth Management","slug":"rockwall-wealth-management-339856","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth 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services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048412","versionId":1048412,"ratePeriod":"not_stated","fee_billing":"both","submittedOn":"2026-06-15","documentName":"ROCKWALL WEALTH MANAGEMENT ADV PART 2","fee_rate_low":1,"fee_rate_high":1.2,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Consulting services","summary":"Consulting services are charged hourly at $100 to $350 per hour, as a fixed fee typically from $350 to $15,000, or as 0.25% to 3.0% of assets under review.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048412","versionId":1048412,"submittedOn":"2026-06-15","documentName":"ROCKWALL WEALTH MANAGEMENT ADV PART 2"},{"role":"other","program":"ERISA 3(21) fiduciary programs","summary":"Retirement plan 3(21) fiduciary program fees are negotiable up to a maximum rate of 2.00% of assets under management.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048412","versionId":1048412,"submittedOn":"2026-06-15","documentName":"ROCKWALL WEALTH MANAGEMENT ADV PART 2"},{"role":"other","program":"Financial planning","summary":"Financial planning is charged hourly at $100 to $500 per hour, or as a fixed fee typically ranging from $350 to $15,000.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048412","versionId":1048412,"submittedOn":"2026-06-15","documentName":"ROCKWALL WEALTH MANAGEMENT ADV PART 2"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T11:33:57.790063+00:00","documents":[{"name":"ROCKWALL WEALTH MANAGEMENT ADV PART 2","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048412","versionId":1048412,"submittedOn":"2026-06-15"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":305459947}],"custodyNote":"Rockwall Wealth Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Richard Dirkse","title":"Owner, CEO, and CCO","crd":"1676153"}],"ownership":[{"label":"Richard Dirkse","detail":"Owner, ceo, and cco in the 75% or more ownership band and a control person, since January 2026."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"301 N Goliad","city":"Rockwall","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"972-771-1472","stateRegisteredReps":4,"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"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":87},{"label":"U.S. government/agency bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":10},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"15 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/339856/PDF/339856.pdf","brochureDate":"15 June 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048412","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 Rockwall Wealth Management have?","answer":"Rockwall Wealth Management has 612 clients and manages $305 million for them, as of June 2026. They include 487 individual clients and 125 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 15 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Rockwall Wealth Management offer?","answer":"Rockwall Wealth Management provides financial planning, portfolio management for individuals and small businesses, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Rockwall Wealth Management charge?","answer":"Rockwall Wealth Management charges 1.00%–1.20% for its Non-ERISA 3(21) investment advisory services. The brochure does not state whether the rate is annual. The fee is billed in advance or in arrears and is negotiable.","source":"ROCKWALL WEALTH MANAGEMENT ADV PART 2, filed 15 June 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Rockwall Wealth Management use?","answer":"Rockwall Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $305M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 15 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Rockwall Wealth Management have?","answer":"Rockwall Wealth Management has 4 investment adviser representatives registered with state securities authorities, out of 4 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 Rockwall Wealth Management invest in?","answer":"At the end of its last fiscal year, Rockwall Wealth Management’s separately managed accounts held 87% exchange-traded equities, 10% registered funds (mutual funds, ETFs, BDCs), 1% U.S. government and agency bonds, 1% investment grade corporate bonds and 1% pooled vehicles (private funds and similar).","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 Rockwall Wealth Management?","answer":"Rockwall Wealth Management’s direct owner is Richard Dirkse (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 15 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Rockwall Wealth Management get paid?","answer":"Rockwall Wealth Management 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 Rockwall Wealth Management?","answer":"Rockwall Wealth Management’s main office is at 301 N Goliad, Rockwall, TX 75087. Its phone number is 972-771-1472.","source":"Form ADV Part 1A, Item 1.F, filed 15 June 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."}