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ROOTED PLANNING GROUP

CORNING, NY · CRD 284120 · IAPD ↗ · 607-438-2761

$157.0MRegulatory AUM
3Advisory reps
7Employees
100Clients
251-500Planning clients
0Private funds
11States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

58
March 2026 — ROOTED PLANNING GROUP 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
61
March 2026 — ROOTED PLANNING GROUP reported RAUM up 33% ($117.7M -> $157.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
42
December 2025 — ROOTED PLANNING GROUP notice-filed in NC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
April 2025 — ROOTED PLANNING GROUP added office(s): 2 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
April 2025 — ROOTED PLANNING GROUP now reports custody of client assets ($36.3M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
42
December 2024 — ROOTED PLANNING GROUP notice-filed in GA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
42
July 2024 — ROOTED PLANNING GROUP notice-filed in CT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
61
February 2024 — ROOTED PLANNING GROUP reported RAUM up 32% ($72.6M -> $95.7M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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