Rockwood Wealth Management, Llc
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 137481
· SEC file 801-69884
· New Hope, PA
· www.linkedin.com
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ADV data as of Jul 16, 2026
- Regulatory AUM
- $2.9B
- Discretionary
- $2.8B
- Clients
- 971
- Avg AUM / client
- $3.0M
- Accounts
- 5,237
- Employees
- 53
AUM over time
$124M
$2.9B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 16, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 438 | $382M | 13.3% |
| High net worth individuals | 480 | $2.4B | 83.3% |
| Pension and profit sharing plans | 26 | $79.2M | 2.76% |
| Charitable organizations | 10 | $11.9M | 0.41% |
| Corporations and other businesses | 5 | $4.2M | 0.15% |
| Other | 12 | $3.7M | 0.13% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Crown Castle Inc. 401(k) Plan Crown Castle Inc. | 2024 | |
| United Airlines Pilot Retirement Account Plan United Airlines, Inc. | 2024 |
People (46)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| John Robert Augenblick | Member | CFP | Dec 2008 (18y) | 50% – 75% |
| Mark Theodore Kelly | Member | May 2013 (13y) | 10% – 25% | |
| Robert Thomas Stephenson | Member | CFP | Oct 2015 (11y) | Less than 5% |
| Megan Jane Lottier | Chief Compliance Officer | Apr 2016 (10y) | Less than 5% | |
| Samuel Whitaker Feldbaum | Member | CFP | Jun 2016 (10y) | 10% – 25% |
| Kenny Brian Bauer | Member | CFP | Sep 2017 (9y) | 5% – 10% |
| Paige E Marlow | Principal | Dec 2017 (9y) | Less than 5% | |
| John T Hagan | Principal | CFP | Aug 2018 (8y) | Less than 5% |
| James A Smith | Chief Investment Officer | Nov 2021 (5y) | Less than 5% | |
| Gilbert, Alaina, Masler | Member | Jan 2023 (4y) | Less than 5% | |
| Travis Simao Roe Raymond | Registered representative | CFP CFA | May 2019 (7y) | |
| Renee A Schuster | Registered representative | CFP | Aug 2019 (7y) | |
| Courtney Lynn Durham | Registered representative | CFP | Sep 2019 (7y) | |
| Najeedah Ghias | Registered representative | CFP | Jan 2020 (7y) | |
| Catherine P Morgan | Registered representative | Jun 2020 (6y) | ||
| Brian M Hansen | Registered representative | CFP | Nov 2020 (6y) | |
| Robert M Vogel | Registered representative | CFP | Dec 2020 (6y) | |
| Courtney Krzaczyk | Registered representative | CFP | Jan 2022 (5y) | |
| Kyle David Quigley | Registered representative | CFP | Mar 2022 (4y) | |
| Jeffrey Baker Llewellyn | Registered representative | CFP CFA | Apr 2022 (4y) | |
| John Earl Helvie | Registered representative | Apr 2022 (4y) | ||
| Mark Arcidiacono | Registered representative | CFP | May 2022 (4y) | |
| Kimberly A Evans | Registered representative | CFP | Jun 2022 (4y) | |
| Joseph Robert Houk | Registered representative | Jul 2022 (4y) | ||
| Maxwell Valentine Dalavai | Registered representative | CFP | Jul 2022 (4y) | |
| Adam R Klazmer | Registered representative | CFP | Oct 2022 (4y) | |
| Jade Alanah Meier | Registered representative | CFP | Jan 2023 (4y) | |
| Benjamin S Herman | Registered representative | CFP | Oct 2023 (3y) | |
| Jack Paul Gawason | Registered representative | CFP | Nov 2023 (3y) | |
| Natalia Rybak | Registered representative | CFP | Jan 2024 (3y) | |
| John Collins | Registered representative | CFP | Jun 2024 (2y) | |
| Robert Ney Dusek | Registered representative | Oct 2024 (2y) | ||
| Phoebe O'malley | Registered representative | Nov 2024 (2y) | ||
| Carlie Elizabeth Shorr | Registered representative | Nov 2024 (2y) | ||
| Michael D Flaten | Registered representative | Dec 2024 (2y) | ||
| Robert James Maloney | Registered representative | Jan 2025 (2y) | ||
| Jack Paul Ventresca | Registered representative | Apr 2025 (1y) | ||
| Siddhi Sagar Malvankar | Registered representative | May 2025 (1y) | ||
| James Hunter Gilmore | Registered representative | Jul 2025 (1y) | ||
| Daphne Jillian Smoley | Registered representative | Sep 2025 (1y) | ||
| John Andrew Little | Registered representative | Sep 2025 (1y) | ||
| Jackson Charles West | Registered representative | Dec 2025 (1y) | ||
| Viviana Marie Salgado | Registered representative | Jan 2026 (1y) | ||
| Leigh Machion | Registered representative | Jan 2026 (1y) | ||
| Emily O'connor | Registered representative | CFA | May 2026 (0y) | |
| Casey Baker | Registered representative | Jul 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Crown Castle Inc. 401(k) Plan | Crown Castle Inc. | 3,947 | $1.1B | 01/01/2024 |
| United Airlines Pilot Retirement Account Plan | United Airlines, Inc. | 17,444 | $16.8B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/16/2026 | 908 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Fidelity Brokerage Services $2.0B (69% of AUM) Jul 2026
- Charles Schwab & Co. $589M (21% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 16, 2026.
View current Form ADV (SEC/IAPD) ↗