Mark T. Kelly

ROCKWOOD WEALTH MANAGEMENT

New Hope, PA 18938

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CRD#: 4443072

Professional summary

Mark Theodore Kelly is a registered financial advisor currently at ROCKWOOD WEALTH MANAGEMENT, LLC located in New Hope, Pennsylvania.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Mark has worked at 5 firms and has passed the Series 3 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Theodore Kelly'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

May 2, 2013 - Present

ROCKWOOD WEALTH MANAGEMENT, LLC

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

RIA

CRD#: 137481

New Hope, PA

Past

October 7, 2011 - April 30, 2013

HIRTLE, CALLAGHAN & CO., LLC

RIA

CRD#: 105403

WEST CONSHOHOCKEN, PA

Past

February 18, 2011 - May 24, 2011

MYCIO WEALTH PARTNERS, LLC

RIA

CRD#: 134436

PHILADELPHIA, PA

Past

May 3, 2007 - November 30, 2010

CONVERGENT WEALTH ADVISORS, LLC

RIA

CRD#: 143719

ROCKVILLE, MD

Past

July 12, 2004 - May 3, 2007

LYDIAN WEALTH MANAGEMENT COMPANY, LLC

RIA

CRD#: 107659

ROCKVILLE, MD

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
(5/2/2013)

IAR

Texas
(1/19/2024)

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

General Industry/Product Exam

Series 3

Date: 9/19/2012

National Commodity Futures 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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Mark T. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Theodore Kelly's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKWOOD WEALTH MANAGEMENT, LLC

HIRTLE, CALLAGHAN & CO., LLC

MYCIO WEALTH PARTNERS, LLC

CONVERGENT WEALTH ADVISORS, LLC

LYDIAN WEALTH MANAGEMENT COMPANY, LLC

Primary Firm SEC Registration

ROCKWOOD WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 3

Date: 9/19/2012

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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