R
Roger F. Woodman Jr. & Co.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$3,195,590
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
0
Very LowAverage account size
—
About
The firm provides financial and investment advisory services and estate management/trustee services to individuals, trusts, estates, and charitable organizations. It delivers investment supervisory services and separate estate management/trustee agreements that cover tasks such as bill payment, tax coordination, and charitable and non‑charitable gift administration.
The firm’s investment process relies on fundamental analysis and a long‑term purchase strategy, drawing on public filings, research materials and periodic account reviews; client accounts are reviewed monthly or quarterly and the adviser meets with clients at least twice a year. It typically manages discretionary accounts, recommends low‑cost custodians and brokers, and may serve as co‑trustee on certain trust accounts with custodians providing statements directly to beneficiaries.
Notably for a manager in this category, the firm accepts individual (non‑high‑net‑worth) clients and uses hourly billing for consultations and some estate/trustee services, practices that are less common among its peers. The firm’s principal brings experience from a non‑financial industry and the firm’s willingness to assume co‑trustee/custody responsibilities on select accounts is a distinguishing operational feature prospective clients should consider.
Client services
Portfolio management
Trustee services
Fee options
Estate management/trustee services billed at flat fee agreed upon by Company and client
0% - 1% of assets under management, billed monthly, quarterly, or biannually in arrears based on average end of month account value
$90.00 per hour for consultations and optionally for estate management/trustee services
Account minimum: Typically does not agree to manage accounts valued at less than $5,000 Fee-only: Financial and investment consultations billed at $90.00/hour; estate management/trustee services billed at a flat fee agreed upon with client or $90.00/hour
Main office location
Roger F. Woodman Jr. & Co.
Portland ME, United States
Number of offices
1
Most active in
Roger F. Woodman Jr. & Co. has reported serving >5 clients in these states in the last 12 months.
Maine
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
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