{"url":"https://nivawealth.com/firms/roffman-milller-associates-106019","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/106019","regulatoryAum":3198701439,"crd":"106019","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2775169","suffix":null,"lastName":"ARNOLD","firstName":"SUSAN","middleName":"LYNN"},{"crd":"2479603","suffix":null,"lastName":"COOKE","firstName":"KEVIN","middleName":"JOSEPH"},{"crd":"3199889","suffix":null,"lastName":"CROOKS","firstName":"RYAN","middleName":"TIMOTHY"},{"crd":"4228399","suffix":null,"lastName":"DAMICO","firstName":"ANDREW","middleName":null},{"crd":"4001899","suffix":null,"lastName":"FROMBACH","firstName":"MARK","middleName":"RICHARD"},{"crd":"5715758","suffix":null,"lastName":"Gaertner","firstName":"Peter","middleName":"F"},{"crd":"7403971","suffix":null,"lastName":"Gradzki","firstName":"David","middleName":null},{"crd":"2703326","suffix":null,"lastName":"GREENWELL","firstName":"PAULETTE","middleName":null},{"crd":"2438772","suffix":null,"lastName":"GUERTIN","firstName":"GERARD","middleName":"GEORGE"},{"crd":"5016984","suffix":null,"lastName":"HARTMAN","firstName":"LORI","middleName":"ANN"},{"crd":"8084423","suffix":null,"lastName":"Hofmann","firstName":"Cole","middleName":"R."},{"crd":"2542081","suffix":null,"lastName":"HOFMANN","firstName":"ROBERT","middleName":"THOMAS"},{"crd":"5938949","suffix":null,"lastName":"MILLER","firstName":"EARL","middleName":"R."},{"crd":"722887","suffix":"III","lastName":"MILLER","firstName":"ROBERT","middleName":"PETERS"},{"crd":"3154731","suffix":null,"lastName":"MOYERS","firstName":"MARTIN","middleName":"JEFFREY"},{"crd":"6455603","suffix":null,"lastName":"RIEGEN","firstName":"ROBERT","middleName":"ALLAN"}],"total":16,"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":"2021-03-11","regulatoryAum":1932222256,"clients":1249,"employees":10,"offices":1},{"filedOn":"2022-03-30","regulatoryAum":2327854959,"clients":1341,"employees":11,"offices":1},{"filedOn":"2023-02-21","regulatoryAum":2094262806,"clients":1396,"employees":11,"offices":1},{"filedOn":"2024-02-26","regulatoryAum":2484019710,"clients":1455,"employees":12,"offices":1},{"filedOn":"2025-05-12","regulatoryAum":2895159684,"clients":1560,"employees":15,"offices":1},{"filedOn":"2026-08-25","regulatoryAum":3198701439,"clients":1598,"employees":15,"offices":2}],"secFileNumber":"801-38491","legalName":"Roffman Milller Associates Inc","displayName":"Roffman Milller Associates","slug":"roffman-milller-associates-106019","website":"https://roffmanmiller.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"1990","organization":"Pennsylvania corporation","fiscalYearEnd":"December","headquarters":{"street":"1835 Market Street, Suite 500","city":"Philadelphia","state":"PA","stateName":"Pennsylvania","country":"United States","postalCode":"19103"},"tradeNames":[],"registration":{"secApproved":"22 March 1991","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1933582.9887359198,"staff":{"employees":15,"advisory":14,"brokerDealerReps":0,"insuranceAgents":0,"promoters":2},"aum":{"regulatory":3198701439,"discretionary":3166850073,"discretionaryAccounts":1588,"nonDiscretionary":31851366,"nonDiscretionaryAccounts":11,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":5},"clientTypes":[{"label":"Individuals (other than HNW)","clients":466,"regulatoryAum":187502245},{"label":"High-net-worth individuals","clients":1132,"regulatoryAum":2902363371},{"label":"Corporations and other businesses","clients":0,"fewerThan5":true,"regulatoryAum":108835823}],"feePrograms":[{"role":"main","program":"Equities & Structured Products","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027492","versionId":1027492,"ratePeriod":"not_stated","fee_billing":"advance","submittedOn":"2026-03-26","documentName":"ROFFMAN MILLER ASSOCIATES, INC. 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They include 1,132 high-net-worth individuals and 466 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Roffman Milller Associates offer?","answer":"Roffman Milller Associates provides financial planning, portfolio management for individuals and small businesses, and educational seminars.","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 Roffman Milller Associates charge?","answer":"Roffman Milller Associates charges 0.75%–1.00% for its Equities & Structured Products. The brochure does not state whether the rate is annual. The fee is billed in advance and is negotiable.","source":"ROFFMAN MILLER ASSOCIATES, INC. PART 2, filed 26 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Roffman Milller Associates use?","answer":"Roffman Milller Associates’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $2.9B. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Roffman Milller Associates have?","answer":"Roffman Milller Associates has 14 investment adviser representatives registered with state securities authorities, out of 15 employees, and 14 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 Roffman Milller Associates invest in?","answer":"At the end of its last fiscal year, Roffman Milller Associates’ separately managed accounts held 61% exchange-traded equities, 19% investment grade corporate bonds, 11% cash and equivalents, 4% registered funds (mutual funds, ETFs, BDCs), 3% state and local bonds and 2% U.S. government and agency bonds.","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 Roffman Milller Associates?","answer":"Roffman Milller Associates’ direct owners are Paulette Greenwell, Robert Miller, Robert Hofmann and Mark Frombach, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 25 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Roffman Milller Associates get paid?","answer":"Roffman Milller Associates is paid through a percentage of assets under management. 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":"Is Roffman Milller Associates registered with the SEC?","answer":"Yes, Roffman Milller Associates has been registered with the SEC as an investment adviser since 22 March 1991. Its CRD number is 106019 and its SEC file number is 801-38491.","source":"Form ADV Part 1A, Item 1, filed 25 August 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Roffman Milller Associates?","answer":"Roffman Milller Associates’ main office is at 1835 Market Street, Suite 500, Philadelphia, PA 19103. Its phone number is 215-981-1030. Its website is roffmanmiller.com.","source":"Form ADV Part 1A, Item 1.F, filed 25 August 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."}