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Updated September 28, 2026. Quick answer: Rockwood Wealth Management is registered with the SEC as an investment adviser (CRD #137481, confirmed ACTIVE this session via SEC IAPD). Per its own current fee brochure, a $500,000 account would run $12,000 a year under its published fee schedule. Already a client and thinking about leaving? Budget $50 if Schwab custodies your account. This review covers what its fee brochure and current SEC registration confirm today; this firm also has a fiduciary-status page and minimum-investment page on this site.
For a closer look at this firm: Rockwood Wealth Management Alternatives.
Rockwood Wealth Management at a glance
| Fact | What Rockwood Wealth Management’s own pages say |
|---|---|
| Legal entity | Rockwood Wealth Management, LLC |
| Registration | Rockwood Wealth Management, LLC is registered with the SEC as an investment adviser (CRD #137481, confirmed ACTIVE this session via SEC IAPD). |
| Fee on a $500,000 account | $12,000 a year, per its own current brochure |
| Minimum to open an account | See the minimum-investment page for Rockwood Wealth Management |
| Cost to leave (exit fee) | $50 if Schwab custodies your account |
What Rockwood Wealth Management’s own fee schedule charges
CRD 137481 verified ACTIVE and SEC-registered (isIAFirm: Y) via the live SEC IAPD API this session. This is the firm’s actual Part 2A brochure fetched directly this session (a prior roster pass had cited the Form CRS instead); as of December 31, 2025, RWM reported $2,846,229,908 in discretionary AUM and $23,670,494 in non-discretionary AUM, about $2.87 billion total. RWM discloses a $12,000 minimum annual fee that applies to the wealth/asset management schedule priced here, which the brochure notes can make the service impractical for portfolios under $1,000,000.
“First $1,000,000 1.25% Next $1,500,000 1.00% Next $2,500,000 0.80% Next $5,000,000 0.60% Over $10,000,000 0.50%”
Rockwood prices Wealth Management and Asset Management accounts on a marginal schedule starting at 1.25% on the first $1,000,000 and stepping down at higher balances, but the firm also discloses a $12,000 minimum annual fee, so any computed amount below that floor is raised to $12,000. That minimum fee is what actually applies at the $250,000 and $500,000 balance points, since the computed marginal fee falls short of it there.
| Account balance | Annual fee |
|---|---|
| $250,000 | $12,000 |
| $500,000 | $12,000 |
| $1,000,000 | $12,500 |
| $2,000,000 | $22,500 |
See the full breakdown, including how the figure is calculated, on Rockwood Wealth Management’s own fee page.
Registration
Rockwood Wealth Management, LLC is registered with the SEC as an investment adviser (CRD #137481, confirmed ACTIVE this session via SEC IAPD).
This is a registration confirmation only, not a fiduciary-standard verdict (a registered investment adviser can still be a dual registrant with a broker-dealer, which changes which standard applies in each capacity). For the fiduciary-standard question itself, see the fiduciary-status page for Rockwood Wealth Management.
What it costs to leave
Rockwood Wealth Management, LLC’s Form ADV Part 2A states “Upon termination of an account any prepaid, unearned fees will be promptly refunded, and any earned unpaid fees will be promptly due and payable.” Rockwood Wealth Management, LLC names two possible custodians in its brochure, with no single default. Charles Schwab & Co., Inc.’s own published fee schedule states “Full transfer (out) of assets: $50 per account.” Fidelity Brokerage Services LLC / National Financial Services LLC discloses no comparable line item (an honest gap).
The full walkthrough for Rockwood Wealth Management is on our how to leave Rockwood Wealth Management page; the general mechanics of switching financial advisors and a dated termination letter apply regardless of firm.
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- Form ADV Part 2A (March 19, 2026): https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021522
- SEC IAPD firm summary (CRD #137481, checked September 28, 2026): https://adviserinfo.sec.gov/firm/summary/137481
Methodology. This page was built September 28, 2026, drawing directly on Rockwood Wealth Management’s own current fee brochure, linked above, and a fresh SEC IAPD registration check run the same day. As of September 28, 2026, this site publishes a fiduciary-status page and a minimum-investment page for Rockwood Wealth Management; where the exit-fee page already exists it is linked above and drawn from that already-sourced page. Any fact we could not independently confirm is named as an honest gap rather than presented as verified. Nothing here is personalized financial, tax, legal, or investment advice, and it is not a substitute for reading Rockwood Wealth Management’s own Form ADV Part 2A and Form CRS. We have not used Rockwood Wealth Management as a client. Rockwood Wealth Management did not pay for, review, or influence this content. See our Editorial Policy, Corrections, Affiliate Disclosure, and Disclaimer.
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