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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

TFC FINANCIAL MANAGEMENT INC

TFC FINANCIAL MANAGEMENT, INC., CRD 105062

BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:222b44f6-4039-0e98-3679-a0fcc9a2ad7d

Data as of Mar 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 4
On other graphs: 0
Observed: Mar 28, 2012 to Mar 4, 2026
35 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.8BItem 5.F on the latest filing (2026-03-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.8B
Private client RAUM: $1.8BderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 12
RAUM per advisor: $148Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 22
Advisory employees: 12
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,619
Individual clients: 113
High net worth clients: 302
Custody, client assets: $804M
SEC number: 801-17784
CRD: 105062
Filings on the tape: 35
First filed: Mar 28, 2012
Latest filed: Mar 4, 2026
Organised: Corporation, MA
Website: tfcfinancial.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
FREDERICK MAURICE PRYOR	n/a	BOSTON, MA	32	45	n/a	no
RENEE KAMYEE KWOK	Certified Financial Planner	BOSTON, MA	24	34	n/a	no
LEANN NATHAN SULLIVAN	Certified Financial Planner	BOSTON, MA	22	30	n/a	no
JANE TAUBNER BARNEY	Certified Financial Planner	BOSTON, MA	18	30	2	no
MICHAEL JAMES MEEHAN	Certified Financial Planner\|Personal Financial Specialist	BOSTON, MA	6	26	n/a	no
Antonette Maria Grimm	Certified Financial Planner	BOSTON, MA	4	12	1	no
BRIAN JOSEPH PRESTI	Chartered Financial Analyst	BOSTON, MA	3	28	4	no
SCOTT MITCHELL BURG	Chartered Financial Analyst	BOSTON, MA	3	26	n/a	no
Jenna Leigh Israni	Chartered Financial Consultant	BOSTON, MA	1	17	n/a	no
JESSICA GLAZE GRANDE	n/a	BOSTON, MA	0	18	1	no
Kyle C Cote	Certified Financial Planner	BOSTON, MA	0	14	n/a	no
SARAH CATHERINE RIOUX	Certified Financial Planner	BOSTON, MA	0	21	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
KWOK, RENEE, KAMYEE	PRESIDENT, CEO	D	yes	02/2007	Mar 4, 2026	Mar 4, 2026
WYLLIE, CONSTANCE, HAEHNEL	CHIEF COMPLIANCE OFFICER	A	yes	02/2015	Mar 4, 2026	Mar 4, 2026
JOSLIN, JAMES, LIPPITT	Chairman	B	yes	03/1991	Mar 28, 2012	Apr 5, 2024
ONEILL, STEPHEN, JAMES	Principal	B	yes	12/1980	Mar 28, 2012	Apr 5, 2024
PRESTI, BRIAN, JOSEPH	CHIEF INVESTMENT OFFICER	Na	no	06/2023	Mar 4, 2026	Mar 4, 2026
SULLIVAN, LEANN, NATHAN	SR. VICE PRESIDENT	B	no	01/2010	Mar 4, 2026	Mar 4, 2026

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 4, 2026	$1.8B	$1.8B	22	12	0	n/a	n/a
2024	Mar 4, 2025	$1.5B	$1.5B	23	10	0	n/a	n/a
2023	Feb 28, 2024	$1.4B	$1.4B	23	10	0	n/a	n/a
2022	Mar 7, 2023	$1.2B	$1.2B	20	9	0	n/a	n/a
2021	Mar 9, 2022	$1.4B	$1.4B	19	10	0	n/a	n/a
2020	Mar 24, 2021	$1.2B	$1.2B	20	11	0	n/a	n/a
2019	Mar 5, 2020	$1.1B	$1.1B	19	11	0	n/a	n/a
2018	Mar 11, 2019	$904M	$903M	17	11	0	n/a	n/a
2017	Mar 10, 2018	$958M	$955M	17	10	0	n/a	n/a
2016	Mar 3, 2017	$851M	$849M	17	10	n/a	n/a	n/a
2015	Mar 17, 2016	$788M	$786M	17	10	n/a	n/a	n/a
2014	Mar 27, 2015	$840M	$839M	15	9	n/a	n/a	n/a
2013	Mar 31, 2014	$808M	$806M	14	8	n/a	n/a	n/a
2012	Apr 1, 2013	$724M	$703M	14	9	n/a	n/a	n/a
2011	Mar 28, 2012	$726M	$678M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	1	1	8.3%	1	0	0	2	2

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.8B	$1.5B	15.8%	$1.2B	13.2%	22	23	0	0

Relationships

Registered with (22)

← SARAH CATHERINE RIOUXAdvisorregistration: current employment
Jul 30, 2026 to presentfactForm ADV
← Kyle C CoteAdvisorregistration: current employment
May 28, 2026 to presentfactForm ADV
← JESSICA GLAZE GRANDEAdvisorregistration: current employment
May 11, 2026 to presentfactForm ADV
← Jenna Leigh IsraniAdvisorregistration: current employment
Feb 19, 2025 to presentfactForm ADV
← SCOTT MITCHELL BURGAdvisorregistration: current employment
Jul 21, 2023 to presentfactForm ADV
← BRIAN JOSEPH PRESTIAdvisorregistration: current employment
Jun 30, 2023 to presentfactForm ADV
← Antonette Maria GrimmAdvisorregistration: current employment
Dec 23, 2021 to presentfactForm ADV
← MICHAEL JAMES MEEHANAdvisorregistration: current employment
May 27, 2020 to presentfactForm ADV
← JANE TAUBNER BARNEYAdvisorregistration: current employment
Jan 18, 2008 to presentfactForm ADV
← LEANN NATHAN SULLIVANAdvisorregistration: current employment
May 28, 2004 to presentfactForm ADV
← RENEE KAMYEE KWOKAdvisorregistration: current employment
Sep 4, 2002 to presentfactForm ADV
← FREDERICK MAURICE PRYORAdvisorregistration: current employment
Apr 14, 1994 to presentfactForm ADV
← Hilary NMN ChampagneAdvisorregistration: previous registration
Nov 18, 2024 to May 29, 2026factForm ADV
← KERRI ALLISON ALLENAdvisorregistration: previous registration
Apr 8, 2019 to Aug 4, 2025factForm ADV
← Debra Sue McDonaldAdvisorregistration: previous registration
Jun 18, 2018 to Jan 18, 2022factForm ADV
← MICHELLE HERD SOUFANAdvisorregistration: previous registration
May 25, 2016 to Apr 8, 2021factForm ADV
← SCOTT ANDERSON SWARTZAdvisorregistration: previous registration
Jun 5, 2012 to Feb 20, 2019factForm ADV
← MARY M EVANSAdvisorregistration: previous registration
Mar 10, 2014 to Jun 29, 2018factForm ADV
← MARY NMN KOENIGAdvisorregistration: previous registration
Sep 10, 1999 to Dec 11, 2012factForm ADV
← LEE CHRISTOPHER MCGOWANAdvisorregistration: previous registration
Feb 9, 2005 to Oct 13, 2010factForm ADV
← FLYNN THOMAS MCDONNELLAdvisorregistration: previous registration
Jan 18, 2008 to Nov 12, 2009factForm ADV
← CHARLES THOMAS YORKAdvisorregistration: previous registration
Feb 9, 2005 to Dec 21, 2005factForm ADV

Controls (4)

← KWOK, RENEE, KAMYEEOwnerPRESIDENT, CEO, ownership code D, individual
Mar 28, 2012 to Apr 5, 2024factForm ADV
← ONEILL, STEPHEN, JAMESOwnerPRINCIPAL, ownership code B, individual
Mar 28, 2012 to Apr 5, 2024factForm ADV
← JOSLIN, JAMES, LIPPITTOwnerCHAIRMAN, ownership code B, individual
Mar 28, 2012 to Apr 5, 2024factForm ADV
← WYLLIE, CONSTANCE, HAEHNELOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 27, 2015 to Apr 5, 2024factForm ADV

Owns (2)

← SULLIVAN, LEANN, NATHANOwnerSR. VICE PRESIDENT, ownership code A, individual
Mar 24, 2021 to Apr 5, 2024factForm ADV
← PRESTI, BRIAN, JOSEPHOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Jul 21, 2023 to Apr 5, 2024factForm ADV

Dated events

Occurred
May 29, 2026
Advisor changed firm
Hilary Nmn Champagne left Tfc Financial Management Inc for Crestwood Advisors (registered 2026-06-24)
Form ADVobserved 6 days ago
Occurred
Aug 4, 2025
Advisor changed firm
Kerri Allison Allen left Tfc Financial Management Inc for Root Financial Partners (registered 2025-08-12)
Form ADVobserved 6 days ago
Occurred
Mar 7, 2023
Control person left
Steven Daniel Kern (Chief Investment Officer) no longer on Schedule A of Tfc Financial Management Inc (listed 2022-03-09, absent 2023-03-07)
Form ADVobserved 6 days ago
Occurred
Jan 18, 2022
Advisor changed firm
Debra Sue Mcdonald left Tfc Financial Management Inc for Commonwealth Financial Network (registered 2022-05-12)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:222b44f6-4039-0e98-3679-a0fcc9a2ad7d
First observed: Mar 28, 2012
Last observed: Mar 4, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

TFC FINANCIAL MANAGEMENT INC

TFC FINANCIAL MANAGEMENT, INC., CRD 105062

BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:222b44f6-4039-0e98-3679-a0fcc9a2ad7d

Data as of Mar 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:47 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

FREDERICK MAURICE PRYOR

n/a

BOSTON, MA

n/a

RENEE KAMYEE KWOK

Certified Financial Planner

BOSTON, MA

n/a

LEANN NATHAN SULLIVAN

Certified Financial Planner

BOSTON, MA

n/a

JANE TAUBNER BARNEY

Certified Financial Planner

BOSTON, MA

MICHAEL JAMES MEEHAN

Certified Financial Planner|Personal Financial Specialist

BOSTON, MA

n/a

Antonette Maria Grimm

Certified Financial Planner

BOSTON, MA

BRIAN JOSEPH PRESTI

Chartered Financial Analyst

BOSTON, MA

SCOTT MITCHELL BURG

Chartered Financial Analyst

BOSTON, MA

n/a

Jenna Leigh Israni

Chartered Financial Consultant

BOSTON, MA

n/a

JESSICA GLAZE GRANDE

n/a

BOSTON, MA

Kyle C Cote

Certified Financial Planner

BOSTON, MA

n/a

SARAH CATHERINE RIOUX

Certified Financial Planner

BOSTON, MA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KWOK, RENEE, KAMYEE

PRESIDENT, CEO

yes

02/2007

Mar 4, 2026

WYLLIE, CONSTANCE, HAEHNEL

CHIEF COMPLIANCE OFFICER

yes

02/2015

Mar 4, 2026

JOSLIN, JAMES, LIPPITT

Chairman

yes

03/1991

Mar 28, 2012

Apr 5, 2024

ONEILL, STEPHEN, JAMES

Principal

yes

12/1980

Mar 28, 2012

Apr 5, 2024

PRESTI, BRIAN, JOSEPH

CHIEF INVESTMENT OFFICER

06/2023

Mar 4, 2026

SULLIVAN, LEANN, NATHAN

SR. VICE PRESIDENT

01/2010

Mar 4, 2026

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 4, 2026

$1.8B

n/a

2024

Mar 4, 2025

$1.5B

n/a

2023

Feb 28, 2024

$1.4B

n/a

2022

Mar 7, 2023

$1.2B

n/a

2021

Mar 9, 2022

$1.4B

n/a

2020

Mar 24, 2021

$1.2B

n/a

2019

Mar 5, 2020

$1.1B

n/a

2018

Mar 11, 2019

$904M

$903M

n/a

2017

Mar 10, 2018

$958M

$955M

n/a

2016

Mar 3, 2017

$851M

$849M

n/a

2015

Mar 17, 2016

$788M

$786M

n/a

2014

Mar 27, 2015

$840M

$839M

n/a

2013

Mar 31, 2014

$808M

$806M

n/a

2012

Apr 1, 2013

$724M

$703M

n/a

2011

Mar 28, 2012

$726M

$678M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

8.3%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.8B

$1.5B

15.8%

$1.2B

13.2%