Roman A. Sandoval
Professional Summary
Roman A. Sandoval, who also goes by Roman Angelo Sandoval, Roman Sandoval, is a registered financial advisor currently at REDW WEALTH LLC located in Albuquerque, New Mexico. Roman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Roman has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Roman Angelo Sandoval, Roman Sandoval
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
10 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
REDW ASSET MANAGEMENT, LLC | REDW WEALTH MANAGEMENT | REDW WEALTH LLC | REDW WEALTH | REDW STANLEY FINANCIAL ADVISORS, LLC
Contact Information
Main Address
8801 Horizon Blvd Ne, Suite 401, Albuquerque, NM 87113Phone Number
(505) 998-3200# of Employees
15SEC notice filing (16 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
892AUM (Assets Under Management)
$869,194,004Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2025 | Cover Page | Report |
| 10/30/2024 | Cover Page | Report |
| 09/05/2023 | Cover Page | Report |
| 09/01/2023 | Cover Page | Report |
| 08/28/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
REDW ASSET MANAGEMENT, LLC | REDW WEALTH MANAGEMENT | REDW WEALTH LLC | REDW WEALTH | REDW STANLEY FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
(1/4/2023)
(6/30/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 2016About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Roman A. Sandoval's CRS (Customer Relationship Summary).
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