Roger Erwin Klein

Financial advisor at Nvwm, LLC · Yardley, PA

Last updated 2026-10-10

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Roger Erwin Klein is a financial advisor at Nvwm, LLC in Yardley, PA, CRD 4372678. First registered 2012-06-19.

Registration

CRD number: 4372678
Registration status: Active
First registered: 2012-06-19
Years of experience: 44
States registered: PA

Licenses and exams

No state licenses or exam codes are listed on the registration.

Work history

1982-01 to Present · Timing Strategies Corporation · Mercerville, NJ
2021-09 to Present · Ventura Wealth Management · Yardley, PA

Current employment

Ventura Wealth Management · Yardley, PA

SEC IAPD record for Roger Erwin Klein

Nvwm, LLC

Regulatory AUM: $713,465,274
Registered advisors: 9
Offices: 3
Clients per advisor: 65.6 (Moderate)
Average AUM per client: $1.2M (Low)
High-net-worth client ratio: 29.3% (Moderate)

Nvwm, LLC: advisors, services and reported ETF investments

Reported ETF positions

Nvwm reports 153 ETF positions worth $154.3M on Form 13F; the largest are listed.

Largest ETF positions reported by Nvwm
Fund	Reported value
VTIP — Vanguard Short-Term Inflation-Protected Securities Index Fund ETF Shares	$9.3M
USFR — WisdomTree Floating Rate Treasury Fund	$8.9M
LQD — iShares iBoxx $ Investment Grade Corporate Bond ETF	$8.8M
GLD — SPDR Gold Shares	$8.5M
IWM — iShares Russell 2000 Index Fund	$7.2M

Source: SEC Form 13F. These are institution-level reported positions; they do not establish that any individual advisor or their clients hold a fund.

Noteworthy reported investments

Nvwm's strongest reported position on each research ranking. Institution-level evidence, not this advisor's or any client's holding.

Firm-reported positions leading each research ranking
Ranking	Fund	Reported value	Percentile	Key figures
Similar Fund Ranking	HTUS — Hull Tactical US ETF	$4.4K	Top 99.6%	Peer conviction 91.5% · Active return +5.41%
Addressable Market	TSPA — T. Rowe Price U.S. Equity Research ETF	$3.1K	Top 99.8%	Addressable AUM $13.3T · Peer conviction 78.3%
Residual Alpha	PRFZ — Invesco RAFI US 1500 Small-Mid ETF	$224	Top 99.4%	Residual alpha +2.34% · Residual Sharpe 0.11
Diversification Benefits	COLO — Global X MSCI Colombia ETF	$1.2K	Top 99.6%	Replicability (R²) 20.4% · Residual Sharpe 0.69

Historical comparisons from the published research release formed 2026-10-02; not forecasts or recommendations. Source: SEC Form 13F. These are institution-level reported positions; they do not establish that any individual advisor or their clients hold a fund.

What this firm offers

Filed by Nvwm, LLC on Form ADV.

Client services

Financial Planning Services
Individuals and Small Businesses
Pension Consulting Services

Fee options

Percentage of Assets Under Management
Hourly Charges
Fixed Fees (Other Than Subscription)

Business and affiliations

Registered Representative of a Broker-Deale
Insurance Broker or Agent
Sells Non-Advisory Products or Services
Insurance Company or Agency

Location

820 Township Line Road, Yardley, PA 19067

9 advisors at this office.

Nvwm office in Yardley, PA

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Contact

The firm's filed contact details.

Official record

View the official SEC IAPD record

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