AdvisorCensus / Financial advisors / Florida / Roath Capital Advisory
Roath Capital Advisory
Filed as ROATH CAPITAL ADVISORY · Legal name Roath Capital Advisory LLC
Roath Capital Advisory is a state-registered investment advisory firm, registered since 2026, reporting under $25 million in regulatory assets under management in its Form ADV filing dated September 10, 2026.
Quick answers
From the filingHow is Roath Capital Advisory compensated?
On its Form ADV (Item 5.E, October 2026), Roath Capital Advisory reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.
Is Roath Capital Advisory registered with the SEC or a state?
Roath Capital Advisory is a state-registered investment advisory firm, registered since 2026. Status as filed: APPROVED. CRD 338200.
How much does Roath Capital Advisory manage?
Roath Capital Advisory reports $0 in regulatory assets under management in its Form ADV filing dated September 10, 2026.
Does Roath Capital Advisory report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/338200
What changed in Roath Capital Advisory's recent Form ADV filings?
In the October 2026 filing data: Newly registered with a state securities regulator.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Regulatory assets under management
Item 5.F$0 as of October 2026, filing dated September 10, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other
Registration and firm details
Items 1, 2, 5- Legal name
- Roath Capital Advisory LLC
- Registration
- State-registered investment adviser. Status as filed: APPROVED.
- Registered since
- 2026 (0 years)
- Employees
- Total: 1. Performing investment advisory functions: 1.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
1 state or jurisdiction
State-registered investment advisers are examined by their state securities regulator. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Changes in the filing
Last 12 months- October 2026
- Newly registered with a state securities regulator.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Roath Capital Advisory (CRD 338200): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/roath-capital-advisory-338200