The Roth Companies, Inc.

Duane M. Roth, Founder & President

The Roth Companies is a holistic wealth management firm solely focused on helping our clients create lifelong financial security. Our Founder Duane Roth started his profession in 2000 and formed our company in 2004 to help people navigate the complex financial landscape. In a world of constant economic, political, and social change, investors need seamless and forward-looking financial strategies. We believe that nobody should be unprepared in their financial journey due to a lack of planning. Today, we continue Duane’s goal of providing investors with the full resources they need to preserve and grow their wealth—and confidently prepare for tomorrow.

When you work with our team, you become part of a close-knit family who collaborates and always look outs for what’s best for you. We value each client and company we serve and work hard on your behalf, with the following core values as our guide:

Competency: To best serve you, financial expertise is critical. We maintain leading industry credentials and receive ongoing education that enables each team member to deliver modern perspectives and resources. To support this goal, our firm will:

Obtain support and endorsement from financial planning educators
Require each advisor to complete a specific annual advanced training and study curriculum
Attend professional education conferences for financial advisors
Team with other professional and academic education providers

Organizational Efficiency: We commit to providing you with timely and responsive communications, using streamlined technology to support our relationships, and maximizing our abilities to serve you through strategic alliances. To support this goal, our firm will:

Enhance communications between the firm and our clients
Increase the use of technology to facilitate effective communications
Establish affiliate relationships to expand the firm’s abilities
Increase the quality of participation by all officers and directors

Strategic Alliances: We deliver the robust support you need by creating alliances with other professionals that can deepen your wealth management resources. To support this goal, our firm will:

Expand the number of client benefits from strategic relationships
Increase client understanding of the value of your strategic partnerships
Improve the perception of the firm through as a valued strategic alliance
Enhance the image of the firm through well-chosen partnerships and research

Code of Ethics: We put your needs first and make recommendations that are only within your best interests. We will treat you respectfully and with care for your financial wellbeing.

To support this goal, our firm will:

Put our clients’ interests above our own at all times
Maintain proficiency in our work through continuing education
Charge a fair, reasonable fee based on the amount of time and expertise required, when involving fee-based services
Abide by both the spirit and the laws and regulations applicable to financial planning services
Give our clients the same service we would expect to receive ourselves in the same circumstances

Public Advocacy: We believe all investors deserve to participate in a market environment that is fair, transparent, and efficient. We advocate for public policies and increased awareness that support your ability to best meet your financial goals. To support this goal, our firm will:

Strive to improve the client for investment, insurance, and employee benefits
Encourage effective legislation, regulation, and administration
Provide coverage of tax and regulatory items to its clients
Increase the public perception of the credentialed financial advisor
Increase public awareness for the need of a personal financial plan