← Tributary

ROI FINANCIAL

BEAVERTON, OR · CRD 160100 · IAPD ↗ · 503-941-5925

$264.2MRegulatory AUM
5Advisory reps
8Employees
15Clients
251-500Planning clients
0Private funds
4States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

61
April 2026 — ROI FINANCIAL reports 251-500 financial-planning clients, up from 101-250.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
April 2026 — ROI FINANCIAL grew from 3 to 5 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
62
April 2025 — ROI FINANCIAL reported RAUM up 36% ($161.6M -> $220.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
65
April 2025 — ROI FINANCIAL now reports custody of client assets ($126.2M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
50
October 2024 — ROI FINANCIAL added office(s): 2 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
44
April 2024 — ROI FINANCIAL notice-filed in CA, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
60
April 2024 — ROI FINANCIAL reported RAUM up 28% ($126.2M -> $161.6M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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