Unclaimed Profile

James A Smith

ROCKWOOD WEALTH MANAGEMENT, LLC·NEW HOPE, Pennsylvania

Series 3, Series 65Clean record4 years registeredROCKWOOD WEALTH MANAGEMENT, LLC

6464 LOWER YORK ROAD, NEW HOPE, PA 18938CRD# 7410957Firm CRD# 137481

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James A Smith · NEW HOPE, PA

Registration

CRD #7410957 · ROCKWOOD WEALTH MANAGEMENT, LLC · 4 years registered

Brand Profile

Not yet started

Career History

ROCKWOOD WEALTH MANAGEMENT, LLC

Nov 2021 – present

Registrations & Exams

FINRA examinations passed

Series 3

Series 65

Registration record

First registered · November 1, 2021

Years registered · 4

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

ROCKWOOD WEALTH MANAGEMENT, LLC

CRD 137481 · SEC 801-69884

AUM

$1.8B

Regulatory assets under management

Employees

3,935 client accounts

Services offered by ROCKWOOD WEALTH MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at ROCKWOOD WEALTH MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does James A Smith offer?

James A Smith specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in NEW HOPE, Pennsylvania for a consultation.

What are James A Smith's credentials?

James A Smith is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James A Smith located?

James A Smith is based in NEW HOPE, Pennsylvania, working with ROCKWOOD WEALTH MANAGEMENT, LLC. Their office serves clients in the NEW HOPE metropolitan area and surrounding communities.

How does James A Smith charge for services?

James A Smith's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ROCKWOOD WEALTH MANAGEMENT, LLC?

ROCKWOOD WEALTH MANAGEMENT, LLC has approximately 48 employees and manages $1.8B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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