Peter H. Roe

RTW FINANCIAL ADVISORS

DALLAS, TX 75254

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CRD#: 1013354

Professional summary

Peter Howard Roe is a registered financial advisor currently at RTW FINANCIAL ADVISORS INC located in Dallas, Texas and MOMENTUM INDEPENDENT NETWORK INC. located in Dallas, Texas.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Peter has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) RTW FINANCIAL ADVISORS, INC.; INVESTMENT-RELATED: YES; ADDRESS: DALLAS, TX 75254; NATURE OF THE BUSINESS: REGISTERED INVESTMENT ADVISOR; POSITION, TITLE OR RELATIONSHIP: OWNER/PARTNER; START DATE: 12/1990; DESCRIPTION: INVESTMENT ADVICE; AMOUNT OF TIME DEVOTED DURING BUSINESS HOURS: 75%; NON-BUSINESS HOURS DEVOTED: 5%. 2) Various focus groups such as Smith Research & Schlesinger - From time to time I participate in focus groups within the securities industry. Usually a sponsor wants an opinion on something they plan to market. Started Jan 2020 - 1.5-2 hrs during business hrs - 1.5-2 hrs during non-business hrs. - location held at various Schlesinger Assoc offices - no conflicts of interests.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Howard Roe's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 11, 2005 - Present

RTW FINANCIAL ADVISORS INC

Office #1: 14114 Dallas Pkwy #530, Dallas, TX 75254

RIA

CRD#: 109934

DALLAS, TX

Current

January 6, 1998 - Present

MOMENTUM INDEPENDENT NETWORK INC.

Office #1: 5757 Alpha Road Suite 700, Dallas, TX 75240

RIA

CRD#: 17587

Dallas, TX

Past

November 14, 2024 - December 4, 2025

MOMENTUM INDEPENDENT NETWORK INC.

RIA

CRD#: 17587

DALLAS, TX

Past

January 13, 2003 - December 31, 2004

RTW FINANCIAL ADVISORS INC

RIA

CRD#: 109934

DALLAS, TX

Past

February 8, 1991 - October 31, 1997

MEYERS POLLOCK ROBBINS, INC.

CRD#: 13436

NEW YORK, NY

Past

January 7, 1991 - March 4, 1991

DOMINION INVESTOR SERVICES, INC.

CRD#: 21548

MARBLE FALLS, TX

Past

July 20, 1987 - December 31, 1990

T.L. REED SECURITIES, INC.

CRD#: 19875

Past

March 12, 1986 - July 31, 1987

SLATERY SECURITIES GROUP, INC.

CRD#: 10015

Past

October 1, 1981 - February 4, 1986

E. F. HUTTON & COMPANY INC

CRD#: 235

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RTW FINANCIAL ADVISORS INC

CRD#: 109934 / SEC#: 801-38676

RIA

Registered Investment Advisory firm - (4/12/1991 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(1/3/2002)

California
(1/6/1998)

Colorado
(6/24/2020)

Connecticut
(2/12/2020)

Florida
(1/8/1998)

Georgia
(1/30/2009)

New Jersey
(11/2/2021)

New Mexico
(5/10/2023)

New York
(1/6/1998)

Oregon
(11/14/2024)

Pennsylvania
(1/16/2003)

Texas
(1/14/1998)

IAR

Texas
(3/11/2005)

Virginia
(10/23/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/13/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/13/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/1981

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

RTW FINANCIAL ADVISORS INC

CRD#: 109934 / SEC#: 801-38676

RIA

Registered Investment Advisory firm - (4/12/1991 Approved)

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Contact information

Main Address

5757 Alpha Road Suite 700, Dallas, TX 75240

Mailing Address

Phone number

(972) 960-1212

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RTW FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	500
AUM (Assets Under Management)	$ 508,502,723

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Peter H. Roe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Howard Roe's CRS (Customer Relationship Summary).

Certified licenses

Experience

MOMENTUM INDEPENDENT NETWORK INC.

MOMENTUM INDEPENDENT NETWORK INC.

RTW FINANCIAL ADVISORS INC

MEYERS POLLOCK ROBBINS, INC.

DOMINION INVESTOR SERVICES, INC.

T.L. REED SECURITIES, INC.

SLATERY SECURITIES GROUP, INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

RTW FINANCIAL ADVISORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/13/1999

Series 63

Date: 11/13/1981

SIE

Date: 10/1/2018

Series 7

Date: 9/19/1981

FINRA

Current Firm

RTW FINANCIAL ADVISORS INC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RTW FINANCIAL ADVISORS INC

TRUST BUT VERIFY

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