Roth Financial Partners provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, estate planning, insurance, and tax planning. Financial planning was provided to 251–500 clients last fiscal year.
Roth Financial Partners reports 267 clients. They include 156 high-net-worth individuals and 111 individual clients. Of its assets, 100.0% ($460M across 708 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $16.9M.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 42% | 10% |
| High-net-worth individuals | 58% | 90% |
| State or municipal government entities | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 111 | $44.4M | 9.6% | $400K |
| High-net-worth individuals | 156 | $415M | 90.2% | $2.66M |
| State or municipal government entities | Fewer than 5 | $629K | 0.1% | — |
| Total | 267 | $460M | 100% | — |
- Clients
- 111
- Regulatory AUM
- $44.4M
- AUM share
- 9.6%
- Avg. per client
- $400K
- Clients
- 156
- Regulatory AUM
- $415M
- AUM share
- 90.2%
- Avg. per client
- $2.66M
- Clients
- Fewer than 5
- Regulatory AUM
- $629K
- AUM share
- 0.1%
- Avg. per client
- —
Total
- Clients
- 267
- Regulatory AUM
- $460M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 251–500
Roth Financial Partners charges 0.75%–1.00% a year for its Investment Advisory Services. The fee is billed in advance and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial Planning and Consulting (Stand-Alone)
- Negotiable; generally $2,000 to $5,000 as a fixed fee, or $100 to $500 per hour, depending on scope and the professional rendering the service.
James Roth Gift Trust owns 25% to 50% of Roth Financial Partners. The leadership team of Roth Financial Partners includes President Eric Johnson. It has 4 employees, 3 of them in advisory roles.
Leadership
Eric JohnsonChief Compliance Officer and Co-President
James RothCo-President
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
Staff
- 4 employees
- 3 in advisory functions
- 3 state-registered reps
- Owns 25% to 50% of Roth Financial Partners LLC
James Roth Gift Trust
Control person · since June 2025
James Roth
Trustee · Control person · since June 2025
- Owns 25% to 50% of Roth Financial Partners LLC
Eric Johnson (Idgt) Trust
Control person · since April 2025
Eric Johnson
Trustee · Control person · since April 2025
- Owns 10% to 25% of Roth Financial Partners LLC
James Roth (Idgt) Trust
since April 2025
Roth Financial Partners’ regulatory assets grew from $316M (March 2021) to $460M (February 2026); clients rose from 234 to 267 and employees fell from 5 to 4.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| February 2026 | $460M | 267 | 4 | 2 |
| June 2025 | $401M | 269 | 4 | 1 |
| March 2024 | $363M | 267 | 4 | 1 |
| May 2023 | $323M | 253 | 4 | 1 |
| February 2022 | $359M | 256 | 4 | 1 |
| March 2021 | $316M | 234 | 5 | 1 |
Besides its headquarters, Roth Financial Partners has 1 office (1 private residence, listed without an address), with 1 listed address in Texas.
Texas · 1 listed address
- 855 Rockmead Drive, Suite 703, KingwoodHQ
Contact and registration details
- Legal name
- Roth Financial Partners LLC
- Headquarters
- 855 Rockmead Drive, Suite 703, Kingwood, TX 77339
- Website
- rothfinancialpartners.com
- Phone
- 281-973-8816
- SEC file
- 801-119326
- Founded
- 2010
- Structure
- Texas LLC
- Fiscal year end
- December
Roth Financial Partners uses Raymond James ($451M) as custodian for its separately managed accounts. Roth Financial Partners has custody of $20.9M in client assets for 4 clients.
- Raymond JamesRaymond James & Associates, Inc. · St. Petersburg, FL · $451M100%
At year end, Roth Financial Partners’ separately managed accounts were mostly in funds (83%) and cash (10%). Its reported 13F holdings for the quarter ended 30 June 2026 total $336M across 33 positions; the largest are iShares TR (22.8%), iShares TR (21.9%) and SPDR S&P 500 ETF TR (11.1%).
What the accounts hold
- Stocks3%
- Funds83%
- Bonds4%
- Cash10%
Reported 13F holdings
- $336M
- Reported 13F value
- 33
- Positions
- 92.8%
- In the 10 largest
- +14.8%
- Value vs. prior quarter
- iShares TR · Core S&P500 ETF22.8%
- iShares TR · Core MSCI Eafe21.9%
- SPDR S&P 500 ETF TR · TR Unit11.1%
- iShares TR · Core S&P Scp ETF8.7%
- Invesco Exchange Traded FD T · S&P500 Eql Wgt7.2%
- Vanguard Scottsdale Fds · Inter Term Treas5.9%
- Vanguard Index Fds · S&P 500 ETF Shs4.8%
- Vanguard Mun BD Fds · Tax Exempt BD3.6%
- iShares Inc. · Core MSCI Emkt3.4%
- Vanguard Tax-managed Intl FD · FTSE Dev Mkt ETF3.3%
Together, the ten largest are 92.8% of reported value.
How many clients does Roth Financial Partners have?
Roth Financial Partners has 267 clients and manages $460 million for them, as of February 2026. They include 156 high-net-worth individuals and 111 individual clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 19 February 2026
What services does Roth Financial Partners offer?
Roth Financial Partners provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, estate planning, insurance, 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
How much does Roth Financial Partners charge?
Roth Financial Partners charges 0.75%–1.00% a year for its Investment Advisory Services. The fee is billed in advance and is negotiable.
Which custodians does Roth Financial Partners use?
Roth Financial Partners’ separately managed account assets are held at Raymond James & Associates, Inc. (St. Petersburg, FL), with $451M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 19 February 2026
How many financial advisors does Roth Financial Partners have?
Roth Financial Partners has 3 investment adviser representatives registered with state securities authorities, out of 4 employees, and 3 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
What does Roth Financial Partners invest in?
At the end of its last fiscal year, Roth Financial Partners’ separately managed accounts held 83% registered funds (mutual funds, ETFs, BDCs), 10% cash and equivalents, 4% state and local bonds and 3% exchange-traded equities.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Roth Financial Partners?
Roth Financial Partners’ direct owners are James Roth Gift Trust, James Roth (Idgt) Trust and Eric Johnson (Idgt) Trust, each holding 50% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 19 February 2026
How does Roth Financial Partners get paid?
Roth Financial Partners 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
How do I contact Roth Financial Partners?
Roth Financial Partners’ main office is at 855 Rockmead Drive, Suite 703, Kingwood, TX 77339. Its phone number is 281-973-8816. Its website is rothfinancialpartners.com.