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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

T. ANTON INVESTMENT HOUSE, INC.

CRD 174970

MADISON, WI

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:8f49c1a0-2da5-64d5-d9ce-047ca98c42d4

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Dec 1, 2016 to Mar 26, 2026
19 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $367MItem 5.F on the latest filing (2026-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $367M
Private client RAUM: $367MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $122Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 6
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 891
Individual clients: 203
High net worth clients: 125
SEC number: 801-108785
CRD: 174970
Filings on the tape: 19
First filed: Dec 1, 2016
Latest filed: Mar 26, 2026
Organised: Corporation, WI
Website: tantoninvestmenthouse.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
TRACEY CAROL ANTON	Certified Financial Planner	MADISON, WI	11	31	1	no
BRENDA JOYCE SIMS	n/a	MADISON, WI	6	17	n/a	no
MICHAEL RAY SMITH	Certified Financial Planner	MADISON, WI	0	14	3	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
ANTON, TRACEY, CAROL	PRESIDENT AND CHIEF COMPLIANCE OFFICER 11.30.2016	E	yes	01/2015	Dec 1, 2016	Feb 9, 2024

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; showing 9 of 11

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2025	Mar 26, 2026	$367M	$367M	6	3	n/a	n/a
2024	Mar 12, 2025	$332M	$332M	4	2	n/a	n/a
2023	Feb 9, 2024	$275M	$275M	3	2	n/a	n/a
2022	Mar 2, 2023	$235M	$235M	5	4	n/a	n/a
2021	Mar 30, 2022	$277M	$277M	5	1	n/a	n/a
2020	Mar 17, 2021	$217M	$217M	4	1	n/a	n/a
2019	Mar 26, 2020	$171M	$171M	4	1	n/a	n/a
2018	Mar 1, 2019	$127M	$127M	3	1	n/a	n/a
2017	Feb 26, 2018	$134M	$134M	3	1	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
1	0	1	0.0%	0	0	0	1	0

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	$367M	$332M	10.5%	$235M	16.0%	6	4	0	0

Relationships

Registered with (5)

← MICHAEL RAY SMITHAdvisorregistration: current employment
Jan 29, 2026 to presentfactForm ADV
← BRENDA JOYCE SIMSAdvisorregistration: current employment
Sep 5, 2020 to presentfactForm ADV
← TRACEY CAROL ANTONAdvisorregistration: current employment
Mar 13, 2015 to presentfactForm ADV
← KATHERYN MARIE LINDQUISTAdvisorregistration: previous registration
May 11, 2021 to May 17, 2023factForm ADV
← Erik Preston BarkerAdvisorregistration: previous registration
Sep 28, 2020 to May 17, 2023factForm ADV

Controls (1)

← ANTON, TRACEY, CAROLOwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER 11.30.2016, ownership code E, individual
Dec 1, 2016 to Feb 9, 2024factForm ADV

Dated events

Occurred
May 17, 2023
Advisor changed firm
Erik Preston Barker left T. Anton Investment House, Inc. for Jacobson & Schmitt Advisors, Llc (registered 2023-05-23)
Form ADVobserved 5 days ago
Occurred
May 17, 2023
Advisor changed firm
Katheryn Marie Lindquist left T. Anton Investment House, Inc. for Lindenwood Financial Llc (registered 2023-08-16)
Form ADVobserved 5 days ago
Occurred
Dec 1, 2016
First Form ADV filing
T. Anton Investment House, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8f49c1a0-2da5-64d5-d9ce-047ca98c42d4
First observed: Dec 1, 2016
Last observed: Mar 26, 2026 5 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.

T. ANTON INVESTMENT HOUSE, INC.

CRD 174970

MADISON, WI

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:8f49c1a0-2da5-64d5-d9ce-047ca98c42d4

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:04 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

TRACEY CAROL ANTON

Certified Financial Planner

MADISON, WI

BRENDA JOYCE SIMS

n/a

MADISON, WI

n/a

MICHAEL RAY SMITH

Certified Financial Planner

MADISON, WI

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ANTON, TRACEY, CAROL

PRESIDENT AND CHIEF COMPLIANCE OFFICER 11.30.2016

yes

01/2015

Dec 1, 2016

Feb 9, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 26, 2026

$367M

n/a

2024

Mar 12, 2025

$332M

n/a

2023

Feb 9, 2024

$275M

n/a

2022

Mar 2, 2023

$235M

n/a

2021

Mar 30, 2022

$277M

n/a

2020

Mar 17, 2021

$217M

n/a

2019

Mar 26, 2020

$171M

n/a

2018

Mar 1, 2019

$127M

n/a

2017

Feb 26, 2018

$134M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$367M

$332M

10.5%

$235M

16.0%