Roffman Miller Associates Inc
Firm details
- Headquarters
- Philadelphia, Pennsylvania
- CRD number
- 106019
- Registered since
- March 22, 1991
- Website
- www.roffmanmiller.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM
- Client types
- HNWI90.74%
- Individuals5.86%
- Corporations / Businesses3.4%
- Services
- Financial PlanningPortfolio Management for IndividualsEducational Seminars / Workshops
Firm profile
FINTRXOverview
Roffman Miller Associates Inc is an independent, SEC-registered registered investment adviser that has been in operation since 1991. The firm is individually owned and focuses on advising individuals and families using a percentage-of-AUM fee model. Its core advisory services include financial planning, discretionary portfolio management for individuals and small businesses, and educational seminars and workshops. The firm does not characterize itself as an active ESG investor, does not act as a pension consultant, and is not listed as a multi-state adviser. The firm has received recurring recognition from CNBC, appearing on CNBC’s Top 100 Financial Advisory Firms lists in 2019, 2020, 2021, 2022 and 2025.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities61%
- Investment Grade Corp Bonds19%
- Cash & Cash Equivalents11%
- Public Funds/Mutual Funds4%
- State & Local Bonds3%
Owners & executives
2 of 2
Mark Frombach
Chief Investment OfficerCRD 4001899
Paulette Greenwell
VP, Chief Compliance OfficerCRD 2703326
Contacts
3 of 15
Peter Gaertner
Investment managerCRD 5715758
Robert Miller
PresidentCRD 722887
Earl Miller
Investment managerCRD 5938949
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 42Active vs passive
$66.8M in ETFs
100%
$66.8M
0%
$0
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| SPDR S&P 500 ETF TRUST (SPY) | State Street | Passive | Large Blend | $5.1M | 6,827 | 7.63% |
Location
Philadelphia, PA
Philadelphia
Location
Philadelphia, PA
Headquartered in Philadelphia, PA, anchoring the Philadelphia-Reading-Camden, PA-NJ-DE-MD metro in the Northeast.
- Metro area
- Philadelphia-Reading-Camden, PA-NJ-DE-MD
- Region
- Northeast
- County
- Philadelphia
- Address
- 1835 Market St
- Time zone
- ET (UTC-5)
- Office locations
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