Maxwell V. Dalavai

ROCKWOOD WEALTH MANAGEMENT

New Hope, PA 18938

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CRD#: 7233378

Professional summary

Maxwell Valentine Dalavai, who also goes by Maxwell Dalavai, is a registered financial advisor currently at ROCKWOOD WEALTH MANAGEMENT, LLC located in New Hope, Pennsylvania.

Maxwell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Maxwell has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Maxwell Dalavai

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.

Drum Teacher; Non-investment related; 08/2020; Telford PA; Mr. Dalavai gives drum lessons to four students at his residence.; Less than 10% of time during non-trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maxwell Valentine Dalavai'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

July 15, 2022 - Present

ROCKWOOD WEALTH MANAGEMENT, LLC

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

RIA

CRD#: 137481

New Hope, PA

Past

August 4, 2021 - June 1, 2022

CROSSGATE WEALTH ADVISORS, LLC

RIA

CRD#: 121856

YARDLEY, PA

Past

September 10, 2020 - July 16, 2021

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

Perkasie, PA

Past

August 19, 2020 - July 16, 2021

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

Perkasie, 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
(7/15/2022)

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: 9/9/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/19/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/15/2020

Securities Industry Essentials 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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Firm Stability Insights

Maxwell V. Dalavai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maxwell Valentine Dalavai's CRS (Customer Relationship Summary).

Certified licenses

Experience

CROSSGATE WEALTH ADVISORS, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

ROCKWOOD WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/9/2020

Series 7TO

Date: 8/19/2020

SIE

Date: 7/15/2020

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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