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3ROOTS WEALTH PARTNERS LLC

SCOTTSDALE, AZ · CRD 338300 · IAPD ↗ · 402-980-1525

$92.6MRegulatory AUM
3Advisory reps
3Employees
0Clients
101-250Planning clients
0Private funds
7States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
September 2026 — 3ROOTS WEALTH PARTNERS LLC notice-filed in MI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
44
April 2026 — 3ROOTS WEALTH PARTNERS LLC notice-filed in NY, PA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
65
April 2026 — 3ROOTS WEALTH PARTNERS LLC now reports custody of client assets ($772,135).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
April 2026 — 3ROOTS WEALTH PARTNERS LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
April 2026 — 3ROOTS WEALTH PARTNERS LLC reports 101-250 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
95
December 2025 — 3ROOTS WEALTH PARTNERS LLC (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 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.