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ROOT FINANCIAL PARTNERS

AUSTIN, TX · CRD 290289 · IAPD ↗ · (760) 452-0720

$2.15BRegulatory AUM
59Advisory reps
65Employees
0Clients
More than 500Planning clients
0Private funds
47States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

51
September 2026 — ROOT FINANCIAL PARTNERS notice-filed in MS, RI, WV.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
July 2026 — ROOT FINANCIAL PARTNERS notice-filed in AL, IA, MT, NM.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
May 2026 — ROOT FINANCIAL PARTNERS notice-filed in UT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
February 2026 — ROOT FINANCIAL PARTNERS moved its main office from ENCINITAS, CA to AUSTIN, TX.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
55
February 2026 — ROOT FINANCIAL PARTNERS added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
75
February 2026 — ROOT FINANCIAL PARTNERS reported RAUM up 94% ($1.11B -> $2.15B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
February 2026 — ROOT FINANCIAL PARTNERS grew from 35 to 59 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
December 2025 — ROOT FINANCIAL PARTNERS notice-filed in CT, DC, HI, ID, IN, LA, MA, MI, MN, MO, NH, NV, OK, SD, WI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
August 2025 — ROOT FINANCIAL PARTNERS notice-filed in ME.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
April 2025 — ROOT FINANCIAL PARTNERS notice-filed in DE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
81
April 2025 — ROOT FINANCIAL PARTNERS reports More than 500 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
85
April 2025 — ROOT FINANCIAL PARTNERS crossed $1B in regulatory AUM ($399.2M -> $1.11B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
April 2025 — ROOT FINANCIAL PARTNERS grew from 9 to 35 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
47
February 2025 — ROOT FINANCIAL PARTNERS notice-filed in KY, NE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
December 2024 — ROOT FINANCIAL PARTNERS notice-filed in AR, OH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
48
November 2024 — ROOT FINANCIAL PARTNERS moved its main office from SOLANA BEACH, CA to ENCINITAS, CA.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
53
November 2024 — ROOT FINANCIAL PARTNERS notice-filed in GA, IL, MD, NC, NJ, OR, PA, SC, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
May 2024 — ROOT FINANCIAL PARTNERS notice-filed in TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2024 — ROOT FINANCIAL PARTNERS notice-filed in CO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
72
April 2024 — ROOT FINANCIAL PARTNERS grew from 5 to 9 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
73
April 2024 — ROOT FINANCIAL PARTNERS reported RAUM up 113% ($187.5M -> $399.2M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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