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ROTH ASSET MANAGEMENT, INC.

· CRD 128368 · IAPD ↗ · 206-780-5550

$132.0MRegulatory AUM
1Advisory reps
1Employees
14Clients
n/aPlanning clients
0Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
January 2025 — ROTH ASSET MANAGEMENT, INC. (location n/a) left the SEC roster (was $132.0M RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
42
September 2024 — ROTH ASSET MANAGEMENT, INC. notice-filed in TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
60
April 2024 — ROTH ASSET MANAGEMENT, INC. reported RAUM up 25% ($105.5M -> $132.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.