{"url":"https://nivawealth.com/firms/rwm-capital-310635","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/310635","regulatoryAum":222369012,"crd":"310635","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5193839","suffix":null,"lastName":"BRADLEY","firstName":"ALAN","middleName":"GREGORY"},{"crd":"7504503","suffix":null,"lastName":"KIM","firstName":"BRENNAN","middleName":null},{"crd":"8292590","suffix":null,"lastName":"Kirby","firstName":"Robert","middleName":"Jeffrey"},{"crd":"7503123","suffix":null,"lastName":"LEWIS","firstName":"CARTER","middleName":"ALLAN"},{"crd":"7637788","suffix":null,"lastName":"Lin","firstName":"Zhaoxia","middleName":null},{"crd":"6181892","suffix":null,"lastName":"MARKIEWICZ","firstName":"MICHAEL","middleName":null},{"crd":"7411807","suffix":"III","lastName":"Moore","firstName":"Thomas","middleName":"Nolan Terrell"},{"crd":"7810684","suffix":null,"lastName":"Morales Blandon","firstName":"Victor","middleName":null},{"crd":"8111609","suffix":"III","lastName":"Peek","firstName":"Richard","middleName":"Donald"},{"crd":"6776722","suffix":"III","lastName":"Roberts","firstName":"Paul","middleName":"Edward"},{"crd":"8197623","suffix":null,"lastName":"Thomas","firstName":"Jordan","middleName":"D."},{"crd":"4880597","suffix":null,"lastName":"Thompson","firstName":"Michael","middleName":"L"},{"crd":"7205247","suffix":null,"lastName":"ZENELI","firstName":"ARMIR","middleName":null}],"total":13,"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":"2021-06-17","regulatoryAum":118299777,"clients":283,"employees":9,"offices":3},{"filedOn":"2022-05-27","regulatoryAum":164600000,"clients":506,"employees":9,"offices":3},{"filedOn":"2023-06-02","regulatoryAum":106988955,"clients":441,"employees":11,"offices":6},{"filedOn":"2024-03-26","regulatoryAum":107933862,"clients":786,"employees":27,"offices":8},{"filedOn":"2025-07-30","regulatoryAum":161362901,"clients":1510,"employees":50,"offices":8},{"filedOn":"2026-08-07","regulatoryAum":222369012,"clients":1439,"employees":63,"offices":8}],"secFileNumber":"801-119513","legalName":"RWM Capital, LLC","displayName":"RWM Capital","slug":"rwm-capital-310635","website":"https://robertswealth.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Texas limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1600 Highway 6, Suite 340","city":"Sugar Land","state":"TX","stateName":"Texas","country":"United States","postalCode":"77478"},"tradeNames":["Roberts Wealth Management, LLC"],"registration":{"secApproved":"21 September 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":151771.133611691,"staff":{"employees":63,"advisory":21,"brokerDealerReps":0,"insuranceAgents":18,"promoters":0},"aum":{"regulatory":222369012,"discretionary":222369012,"discretionaryAccounts":2731,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":1245,"regulatoryAum":146216389},{"label":"High-net-worth individuals","clients":192,"regulatoryAum":71878730},{"label":"Corporations and other businesses","clients":2,"fewerThan5":true,"regulatoryAum":4273893}],"feePrograms":[{"role":"other","program":"Consulting","summary":"Limited-scope consulting fees are negotiable and billed as services are rendered.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1054248","versionId":1054248,"submittedOn":"2026-08-07","documentName":"PART 2A BROCHURE"},{"role":"other","program":"Financial Planning","summary":"Financial planning is billed hourly or at a fixed rate based on scope and complexity; fees generally do not exceed $15,000 per plan, with 50% due on engagement.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1054248","versionId":1054248,"submittedOn":"2026-08-07","documentName":"PART 2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T16:43:57.485148+00:00","documents":[{"name":"PART 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1054248","versionId":1054248,"submittedOn":"2026-08-07"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":222369012}],"custodyNote":"RWM Capital does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Liza Mae Espiritu","title":"Chief Compliance Officer","crd":"6593089"},{"name":"Paul Roberts","title":"Managing Member","crd":"6776722"}],"ownership":[{"label":"Paul Roberts","detail":"Managing member in the 75% or more ownership band and a control person, since March 2023."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":7,"privateResidences":0},"listedOfficeAddresses":8,"foreignOffices":[],"officesByState":[{"state":"Alabama","offices":2,"addresses":[{"street":"1110 Montlimar Drive","city":"Mobile"},{"street":"9808 Millwood Circle","city":"Daphne"}]},{"state":"Florida","offices":1,"addresses":[{"street":"282 North Palafox Street","city":"Pensacola"}]},{"state":"Louisiana","offices":1,"addresses":[{"street":"2315 Florida Street","city":"Mandeville"}]},{"state":"Mississippi","offices":1,"addresses":[{"street":"2555 Marshall Road","city":"Biloxi"}]},{"state":"Texas","offices":3,"addresses":[{"street":"1600 Highway 6, Suite 340","city":"Sugar Land","headquarters":true},{"street":"440 Cobia Drive","city":"Katy"},{"street":"1575 Sawdust RD","city":"The Woodlands"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"832-981-7000","stateRegisteredReps":12,"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","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"1000","assetMix":[{"label":"Exchange-traded equity securities","percent":22},{"label":"Non-exchange-traded equity securities","percent":1},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":72},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"7 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/310635/PDF/310635.pdf","brochureDate":"7 August 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1054248","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 RWM Capital have?","answer":"RWM Capital has 1,439 clients and manages $222 million for them, as of August 2026. They include 1,245 individual clients, 192 high-net-worth individuals, and 2 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 7 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does RWM Capital offer?","answer":"RWM Capital provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does RWM Capital use?","answer":"RWM Capital’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $222M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 7 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does RWM Capital have?","answer":"RWM Capital has 12 investment adviser representatives registered with state securities authorities, out of 63 employees, and 21 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 18 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does RWM Capital invest in?","answer":"At the end of its last fiscal year, RWM Capital’s separately managed accounts held 72% registered funds (mutual funds, ETFs, BDCs), 22% exchange-traded equities, 5% cash and equivalents, 1% non-exchange-traded equities, 1% U.S. government and agency bonds, 1% state and local 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 RWM Capital?","answer":"RWM Capital’s direct owner is Paul Roberts (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 7 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does RWM Capital get paid?","answer":"RWM Capital 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 RWM Capital?","answer":"RWM Capital’s main office is at 1600 Highway 6, Suite 340, Sugar Land, TX 77478. Its phone number is 832-981-7000. Its website is robertswealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 7 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."}