RTW Financial Advisors provides financial planning, portfolio management for individuals and small businesses, selecting other managers, education planning, estate planning, insurance, philanthropic planning, retirement plan services, and tax planning. Financial planning was provided to 1–10 clients last fiscal year.
RTW Financial Advisors reports 182 clients. They include 93 individual clients, 85 high-net-worth individuals, and 2 pension and profit-sharing plans. Of its assets, 93.8% ($545M across 500 accounts) are managed with discretion; $35.7M across 21 accounts are not. It advised 2 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 51% | 6% |
| High-net-worth individuals | 47% | 81% |
| Pension and profit-sharing plans | 1% | 12% |
| Charitable organizations | 1% | 2% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 93 | $34M | 5.8% | $365K |
| High-net-worth individuals | 85 | $468M | 80.5% | $5.5M |
| Pension and profit-sharing plans | Fewer than 5 | $69.3M | 11.9% | $34.7M |
| Charitable organizations | Fewer than 5 | $9.83M | 1.7% | $4.91M |
| Total | 182 | $581M | 100% | — |
- Clients
- 93
- Regulatory AUM
- $34M
- AUM share
- 5.8%
- Avg. per client
- $365K
- Clients
- 85
- Regulatory AUM
- $468M
- AUM share
- 80.5%
- Avg. per client
- $5.5M
- Clients
- Fewer than 5
- Regulatory AUM
- $69.3M
- AUM share
- 11.9%
- Avg. per client
- $34.7M
- Clients
- Fewer than 5
- Regulatory AUM
- $9.83M
- AUM share
- 1.7%
- Avg. per client
- $4.91M
Total
- Clients
- 182
- Regulatory AUM
- $581M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 2
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
RTW Financial Advisors charges up to 1.00% a year for its Investment Management Services. The fee is billed in advance, is negotiable and has a $1,000 annual minimum. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Financial Planning Services
- A fixed fee ranging up to $25,000, or an hourly fee rate up to $1,500, depending on the complexity of the plan and services provided.
- Performance Measurement Services
- Negotiable, typically fixed monthly or quarterly fees that typically range from 1-40 basis points annually, depending on scope, number of investments and output.
Peter Roe owns 25% to 50% of RTW Financial Advisors. The leadership team of RTW Financial Advisors includes President Stephen McKimmey and Chief Compliance Officer Joshua Jones. It has 11 employees, 3 of them in advisory roles.
Staff
- 11 employees
- 3 in advisory functions
- 3 state-registered reps
- 3 broker-dealer reps
- Owns 25% to 50% of RTW Financial Advisors Inc
Peter Roe
Control person · since January 1991
- Owns 25% to 50% of RTW Financial Advisors Inc
Morris Williams
Control person · since January 1991
RTW Financial Advisors’ regulatory assets grew 1.7× from $345M (March 2021) to $581M (June 2026); clients rose from 142 to 182 and employees fell from 13 to 11.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Jun 2026June 2026 | $581M | 182 | 11 | 1 |
| Mar 2025March 2025 | $509M | 161 | 11 | 1 |
| Mar 2024March 2024 | $472M | 161 | 11 | 1 |
| Mar 2023March 2023 | $464M | 137 | 12 | 1 |
| Mar 2022March 2022 | $383M | 138 | 12 | 1 |
| Mar 2021March 2021 | $345M | 142 | 13 | 1 |
Besides its headquarters, RTW Financial Advisors has 0 offices, with 1 listed address in 1 state.
Texas · 1 listed address
- 5757 Alpha Road, Suite 700, DallasHQ
Contact and registration details
- Legal name
- RTW Financial Advisors Inc
- Headquarters
- 5757 Alpha Road, Suite 700, Dallas, TX 75240
- Website
- Not reported
- Phone
- 972-960-1212
- SEC file
- 801-38676
- Structure
- Texas corporation
- Fiscal year end
- December
RTW Financial Advisors’ named custodian for separately managed accounts is Hilltop Securities ($522M). RTW Financial Advisors does not have custody of client assets.
- Hilltop SecuritiesHilltop Securities Inc. · Dallas, TX · $522M100%
At year end, RTW Financial Advisors’ separately managed accounts were largely in funds (38%) and bonds (26%).
What the accounts hold
- Stocks9%
- Funds38%
- Bonds26%
- State and local bonds17%
- U.S. government and agency bonds9%
- Cash23%
- Other4%
- Gold & silver bullion4%
How many clients does RTW Financial Advisors have?
RTW Financial Advisors has 182 clients and manages $581 million for them, as of June 2026. They include 93 individual clients, 85 high-net-worth individuals, and 2 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 22 June 2026
What services does RTW Financial Advisors offer?
RTW Financial Advisors provides financial planning, portfolio management for individuals and small businesses, selecting other managers, education planning, estate planning, insurance, philanthropic planning, retirement plan services, 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 RTW Financial Advisors charge?
RTW Financial Advisors charges up to 1.00% a year for its Investment Management Services. The fee is billed in advance, is negotiable and has a $1,000 annual minimum.
Which custodians does RTW Financial Advisors use?
RTW Financial Advisors’ separately managed account assets are held at Hilltop Securities Inc. (Dallas, TX), with $522M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 22 June 2026
How many financial advisors does RTW Financial Advisors have?
RTW Financial Advisors has 3 investment adviser representatives registered with state securities authorities, out of 11 employees, and 3 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 0 employees are 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 RTW Financial Advisors invest in?
At the end of its last fiscal year, RTW Financial Advisors’ separately managed accounts held 38% registered funds (mutual funds, ETFs, BDCs), 23% cash and equivalents, 17% state and local bonds, 9% exchange-traded equities, 9% U.S. government and agency bonds and 4% other. The 4% other category is described as: Gold & Silver Bullion.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns RTW Financial Advisors?
RTW Financial Advisors’ direct owners are Peter Roe and Morris Williams, each holding 50% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 22 June 2026
How does RTW Financial Advisors get paid?
RTW Financial Advisors is paid through a percentage of assets under management, hourly charges, fixed fees and commissions. Its Form ADV lists no 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 RTW Financial Advisors?
RTW Financial Advisors’ main office is at 5757 Alpha Road, Suite 700, Dallas, TX 75240. Its phone number is 972-960-1212.