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Travis Simao Roe-raymond

Travis S. Roe-raymond

ROCKWOOD WEALTH MANAGEMENT
New Hope, PA 18938
Some features on this profile are disabled
CRD#: 5884838
Travis Simao Roe-raymond

Professional summary

Travis Simao Roe-raymond, CFP®, who also goes by Travis Fraser Roe-raymond, Travis F Roe-raymond, is a registered financial advisor currently at ROCKWOOD WEALTH MANAGEMENT, LLC located in New Hope, Pennsylvania.

Travis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Travis has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Travis Fraser Roe-Raymond | Travis F Roe-Raymond

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 Travis Simao Roe-raymond'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: 2018

Experience

Current

May 23, 2019 - Present

ROCKWOOD WEALTH MANAGEMENT, LLC

Office #1: 6464 Lower York Road, New Hope, PA 18938
RIA
CRD#: 137481
New Hope, PA
Past

January 20, 2017 - April 9, 2019

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
PRINCETON, NJ
Past

January 20, 2017 - April 9, 2019

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
PRINCETON, NJ
Past

March 23, 2011 - January 5, 2017

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108928
BLOOMFIELD HILLS, MI
Past

February 16, 2011 - January 5, 2017

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
BLOOMFIELD HILLS, MI

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
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)

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
(5/23/2019)
IAR
Texas
(4/6/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/22/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/2011
General Securities Representative Examination

Current Firm

ROCKWOOD WEALTH MANAGEMENT, LLC
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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
53

SEC notice filing (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RWM ADV PART2A BROCHURE (1/29/2026)

Regulatory assets under management

Total Number of Accounts4,476
AUM (Assets Under Management)$ 2,185,443,848

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/20/2023
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.

Company Information

ROCKWOOD WEALTH MANAGEMENT, LLC

ROCKWOOD WEALTH MANAGEMENT, LLC

CRD#: 137481New Hope, PA 18938

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