{"url":"https://nivawealth.com/firms/roth-financial-partners-309814","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/309814","regulatoryAum":460120257,"crd":"309814","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6771240","suffix":null,"lastName":"JOHNSON","firstName":"ERIC","middleName":"ABRAM"},{"crd":"5814006","suffix":null,"lastName":"ROTH","firstName":"JAMES","middleName":"AUSTIN"},{"crd":"1201110","suffix":null,"lastName":"ROTH","firstName":"PETER","middleName":"BRUCE"}],"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":"2021-03-17","regulatoryAum":316172571,"clients":234,"employees":5,"offices":1},{"filedOn":"2022-02-24","regulatoryAum":359494846,"clients":256,"employees":4,"offices":1},{"filedOn":"2023-05-25","regulatoryAum":322898165,"clients":253,"employees":4,"offices":1},{"filedOn":"2024-03-01","regulatoryAum":362974627,"clients":267,"employees":4,"offices":1},{"filedOn":"2025-06-09","regulatoryAum":400671602,"clients":269,"employees":4,"offices":1},{"filedOn":"2026-02-19","regulatoryAum":460120257,"clients":267,"employees":4,"offices":2}],"secFileNumber":"801-119326","legalName":"Roth Financial Partners LLC","displayName":"Roth Financial Partners","slug":"roth-financial-partners-309814","website":"https://rothfinancialpartners.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/309814/49118359d66dd5cf-r1.webp","tone":"dark","width":359,"height":200,"sourceUrl":"https://www.rothfinancialpartners.com","sourceLabel":"Roth Financial Partners LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2010","organization":"Texas limited liability company","fiscalYearEnd":"December","headquarters":{"street":"855 Rockmead Drive, Suite 703","city":"Kingwood","state":"TX","stateName":"Texas","country":"United States","postalCode":"77339"},"tradeNames":[],"registration":{"secApproved":"20 August 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1720941.0823970037,"staff":{"employees":4,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":460120257,"discretionary":460120257,"discretionaryAccounts":708,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":16922573,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":111,"regulatoryAum":44382317},{"label":"High-net-worth individuals","clients":156,"regulatoryAum":415108952},{"label":"State or municipal government entities","clients":null,"fewerThan5":true,"regulatoryAum":628988}],"feePrograms":[{"role":"main","program":"Investment Advisory Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010044","versionId":1010044,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-02-18","documentName":"ADV PART 2A","fee_rate_low":0.75,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning and Consulting (Stand-Alone)","summary":"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.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010044","versionId":1010044,"submittedOn":"2026-02-18","documentName":"ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T10:54:10.498348+00:00","documents":[{"name":"ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010044","versionId":1010044,"submittedOn":"2026-02-18"}]},"custodians":[{"name":"Raymond James & Associates, Inc.","shortName":"Raymond James","location":"St. Petersburg, FL","smaAssets":450765863}],"custodyNote":"Roth Financial Partners has custody of $20.9M in client assets for 4 clients.","otherCustodians":[],"leadership":[{"name":"Eric Johnson","title":"Chief Compliance Officer and Co-President","crd":"6771240"},{"name":"James Roth","title":"Co-President","crd":"5814006"}],"ownership":[{"label":"James Roth Gift Trust","detail":"Member in the 25% to 50% ownership band and a control person, since June 2025."},{"label":"James Roth (Idgt) Trust","detail":"Member in the 10% to 25% ownership band, since April 2025."},{"label":"Eric Johnson (Idgt) Trust","detail":"Member in the 25% to 50% ownership band and a control person, since April 2025."},{"label":"James Roth","detail":"Indirect owner: trustee of James Roth Gift Trust and a control person, since June 2025. Also trustee of James Roth (Idgt) Trust and a control person, since April 2025.","parent":"James Roth Gift Trust"},{"label":"Eric Johnson","detail":"Indirect owner: trustee of Eric Johnson (Idgt) Trust and a control person, since April 2025.","parent":"Eric Johnson (Idgt) Trust"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"855 Rockmead Drive, Suite 703","city":"Kingwood","headquarters":true}]}],"brochureServices":["estate planning","insurance","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"281-973-8816","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","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":3},{"label":"U.S. state and local bonds","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":83},{"label":"Cash and cash equivalents","percent":10}],"privateFunds":0},"sources":{"adv1FilingDate":"19 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/309814/PDF/309814.pdf","brochureDate":"18 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010044","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 Roth Financial Partners have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Roth Financial Partners offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Roth Financial Partners charge?","answer":"Roth Financial Partners charges 0.75%–1.00% a year for its Investment Advisory Services. The fee is billed in advance and is negotiable.","source":"ADV PART 2A, filed 18 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Roth Financial Partners use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Roth Financial Partners have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Roth Financial Partners invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Roth Financial Partners?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Roth Financial Partners get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Roth Financial Partners?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 19 February 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/roth-financial-partners-309814/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-14","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1840888/000184088826000003/0001840888-26-000003-index.html","totalValue":336299548,"positionCount":33,"top10Share":0.9279680298589043,"top10":[{"issuer":"ISHARES TR","titleOfClass":"CORE S&P500 ETF","cusip":"464287200","value":76781404,"shares":102531,"shareType":"SH","priorValue":63778107,"priorShares":97644},{"issuer":"ISHARES TR","titleOfClass":"CORE MSCI EAFE","cusip":"46432F842","value":73752424,"shares":763649,"shareType":"SH","priorValue":67050397,"priorShares":740675},{"issuer":"SPDR S&P 500 ETF TR","titleOfClass":"TR 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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."}