Robert M. Vogel

ROCKWOOD WEALTH MANAGEMENT

New Hope, PA 18938

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CRD#: 4140530

Professional summary

Robert M Vogel, CFP®, who also goes by Robert Mawhinney Jr, Robert Mawhinney, is a registered financial advisor currently at ROCKWOOD WEALTH MANAGEMENT, LLC located in New Hope, Pennsylvania.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Robert has worked at 8 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert Mawhinney Jr | Robert Mawhinney

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.

THEATRE HORIZON, 401 DEKALB ST, NORRISTOWN, PA; NOT INVESTMENT RELATED; SERVES ON THE BOARD OF DIRECTORS AND FINANCE COMMITTEE PROVIDING GOVERNANE AND OVERSIGHT OF ORGANIZATION; 3 HRS/MONTH AND 1 HR/MONTH DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert M Vogel'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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

December 14, 2020 - Present

ROCKWOOD WEALTH MANAGEMENT, LLC

Office #1: 6464 Lower York Road, New Hope, PA 18938

RIA

CRD#: 137481

New Hope, PA

Past

April 8, 2019 - December 1, 2020

MARINER WEALTH

RIA

CRD#: 140195

BLUE BELL, PA

Past

October 2, 2015 - April 11, 2019

JFS WEALTH ADVISORS, LLC

RIA

CRD#: 145051

DOYLESTOWN, PA

Past

May 24, 2006 - October 13, 2015

COMPREHENSIVE INVESTMENT SOLUTIONS, LLC

RIA

CRD#: 119284

YARDLEY, PA

Past

June 29, 2005 - May 17, 2006

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

October 14, 2002 - May 16, 2005

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

VALLEY FORGE, PA

Past

October 19, 2000 - May 16, 2005

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

March 28, 2000 - October 25, 2000

DIRECTED SERVICES LLC

CRD#: 21675

WEST CHESTER, PA

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".

ROCKWOOD WEALTH MANAGEMENT, LLC

BOOTH ADVISORY GROUP, LLC | ROCKWOOD WEALTH MANAGEMENT, LLC

CRD#: 137481 / SEC#: 801-69884

RIA

Registered Investment Advisory firm - (1/26/2009 Approved)

Pennsylvania

Registered Investment Advisory firm - (2/27/2009 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(12/14/2020)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/11/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/17/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/27/2000

General Securities Representative Examination

Current Firm

ROCKWOOD WEALTH MANAGEMENT, LLC

BOOTH ADVISORY GROUP, LLC | ROCKWOOD WEALTH MANAGEMENT, LLC

CRD#: 137481 / SEC#: 801-69884

RIA

Registered Investment Advisory firm - (1/26/2009 Approved)

Pennsylvania

Registered Investment Advisory firm - (2/27/2009 Terminated)

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Contact information

Main Address

6464 Lower York Road, New Hope, PA 18938

Mailing Address

Phone number

(267) 983-6400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RWM ADV PART2A BROCHURE (2/20/2025)

Regulatory assets under management

Total Number of Accounts	4,476
AUM (Assets Under Management)	$ 2,185,443,848

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/20/2023	Cover Page	Report
02/02/2023	Cover Page	Report

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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Robert M. Vogel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert M Vogel's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARINER WEALTH

JFS WEALTH ADVISORS, LLC

COMPREHENSIVE INVESTMENT SOLUTIONS, LLC

SEI INVESTMENTS DISTRIBUTION CO.

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

DIRECTED SERVICES LLC

Primary Firm SEC Registration

ROCKWOOD WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/11/2002

Series 63

Date: 4/17/2000

Series 7

Date: 3/27/2000

Current Firm

ROCKWOOD WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ROCKWOOD WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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