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ROOTED FINANCIAL GROUP, LLC

TIGARD, OR · CRD 335302 · IAPD ↗ · 503-207-2067

$108.7MRegulatory AUM
2Advisory reps
3Employees
0Clients
0Planning clients
0Private funds
4States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

50
April 2026 — ROOTED FINANCIAL GROUP, LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
April 2026 — ROOTED FINANCIAL GROUP, LLC now reports custody of client assets ($46.1M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
46
December 2025 — ROOTED FINANCIAL GROUP, LLC notice-filed in AZ, TX, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
July 2025 — ROOTED FINANCIAL GROUP, LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
April 2025 — ROOTED FINANCIAL GROUP, LLC (TIGARD, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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