R.W. Roge & Company, Inc
Registered investment adviser · Bohemia, NY · CRD #104645
Form ADV data as of 2026-09-01Regulatory assets
$419.5 million
Total accounts
827
Employees
9
Disclosure events
0
Firm details
- Website: https://www.google.com/search?q=r.w.+rog%c3%a9+%26+company&stick=h4siaaaaaaaa_-ngu1i1qlcwtdu2nde0sewysu40sts2mqiwtdvmnk1jndnis
- Telephone: 631-218-0077
- SEC file number: 801-28012
- Most recent Form ADV filing: 2026-02-10
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $395.2 million |
| Non-discretionary regulatory assets under management | $24.2 million |
| Total regulatory assets under management | $419.5 million |
| Discretionary accounts | 822 |
| Non-discretionary accounts | 5 |
| Total accounts | 827 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 9 |
| Employees performing investment advisory functions (including research) | 4 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 4 |
| Employees registered as IARs for another investment adviser | 1 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $115.0 million |
| Clients for whom the firm has custody | 178 |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 1 |
How the firm is compensated
Advisory services offered
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Receives soft dollar benefits
- Compensates a non-employee for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 201 | $70.5 million |
| High net worth individuals | 121 | $324.5 million |
| Pension and profit sharing plans (not the participants or government plans) | 10 | $24.5 million |