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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

TRI-STAR ADVISORS, INC.

TRI-STAR ADVISORS INC., CRD 149760

HOUSTON, TX

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:91f9ea32-1bff-6a8a-4fce-b2ddd7d71f2b

Data as of Jun 12, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 6
On other graphs: 0
Observed: Nov 29, 2011 to Jun 12, 2023
29 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $55.5MItem 5.F on the latest filing (2023-06-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $55.5M
Private client RAUM: $46.7MderivedItem 5.D individuals plus high net worth individuals
Private client share: 84%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $27.7Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 129
Individual clients: 42
High net worth clients: 32
Custody, client assets: $34.7M
SEC number: 801-70769
CRD: 149760
Filings on the tape: 29
First filed: Nov 29, 2011
Latest filed: Jun 12, 2023
Organised: Corporation, Texas

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
WILLIAM THOMAS PAYNE	n/a	HOUSTON, TX	17	33	n/a	yes
JON CARTER VAUGHAN	Chartered Financial Analyst	HOUSTON, TX	3	32	1	yes

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
PAYNE, WILLIAM, THOMAS	President	D	yes	09/2009	Nov 29, 2011	Jun 12, 2023
VAUGHAN, JON, CARTER	CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER	D	yes	09/2009	Nov 29, 2011	Jun 12, 2023

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
2022	Mar 16, 2023	$55.5M	$55.5M	4	2	0	n/a	n/a
2021	Mar 16, 2022	$355M	$348M	7	6	0	n/a	n/a
2020	Mar 19, 2021	$337M	$311M	8	6	0	n/a	n/a
2019	Mar 25, 2020	$278M	$278M	9	7	1	n/a	n/a
2018	Mar 29, 2019	$221M	$221M	9	8	1	n/a	n/a
2017	Mar 26, 2018	$157M	$157M	5	5	1	n/a	n/a
2016	Mar 31, 2017	$133M	$133M	7	5	n/a	n/a	n/a
2015	Mar 30, 2016	$132M	$132M	5	5	n/a	n/a	n/a
2014	Mar 30, 2015	$125M	$125M	5	5	n/a	n/a	n/a
2013	Mar 27, 2014	$120M	$120M	5	5	n/a	n/a	n/a
2012	Mar 26, 2013	$179M	$0	5	5	n/a	n/a	n/a
2011	Mar 29, 2012	$151M	$0	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
0	0	0	0.0%	0	0	0	0	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
2022	$55.5M	$355M	-84.4%	$278M	-41.6%	4	7	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
TSA WEALTH MANAGEMENT	3	Feb 24, 2023	Oct 3, 2022	HOUSTON, TX	Firm absorbed	RIA to RIA	60.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PARALLAX INVESTMENTS, LLC	2	Jul 30, 2018	Jul 19, 2018	HOUSTON, TX	Team lift out	Other	100.0%

Relationships

Registered with (7)

← JON CARTER VAUGHANAdvisorregistration: current employment
Jun 12, 2023 to presentfactForm ADV
← WILLIAM THOMAS PAYNEAdvisorregistration: current employment
May 18, 2009 to presentfactForm ADV
← THOMAS LEE PAYNEAdvisorregistration: previous registration
Aug 15, 2011 to Mar 16, 2023factForm ADV
← CRYSTAL ALLISON MCKEONAdvisorregistration: previous registration
Jul 19, 2018 to Feb 24, 2023factForm ADV
← JONATHAN HARRISON SWANBURGAdvisorregistration: previous registration
Nov 19, 2009 to Feb 24, 2023factForm ADV
← AUSTIN GENTRY MARRSAdvisorregistration: previous registration
Jul 19, 2018 to Feb 24, 2023factForm ADV
← MARCEL STEPHEN THERIOTAdvisorregistration: previous registration
May 26, 2009 to Aug 3, 2010factForm ADV

Controls (2)

← PAYNE, WILLIAM, THOMASOwnerPRESIDENT, ownership code D, individual
Nov 29, 2011 to presentfactForm ADV
← VAUGHAN, JON, CARTEROwnerCHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, ownership code D, individual
Nov 29, 2011 to presentfactForm ADV

Moved with (2)

→ TSA WEALTH MANAGEMENTRegistered adviser3 advisors, firm absorbed, same day
Feb 24, 2023 to Oct 3, 2022factForm ADV
← PARALLAX INVESTMENTS, LLCRegistered adviser2 advisors, team lift out, same day
Jul 30, 2018 to Jul 19, 2018factForm ADV

Dated events

Occurred
Mar 16, 2023
Regulatory AUM changed
Tri-Star Advisors, Inc. reported RAUM $55.5M, down 84% from $354.8M (2022-03-16 to 2023-03-16)
Form ADVobserved 4 days ago
$-299M
Occurred
Mar 16, 2023
Advisor changed firm
Thomas Lee Payne left Tri-Star Advisors, Inc. for Calton & Associates, Inc. (registered 2022-12-08)
Form ADVobserved 4 days ago
Occurred
Feb 24, 2023
Firm absorbed
Tri-Star Advisors, Inc.'s advisors moved to Tsa Wealth Management (Houston, TX): 3 of 5 registered, on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Feb 24, 2023
Advisor changed firm
Austin Gentry Marrs left Tri-Star Advisors, Inc. for Tsa Wealth Management (registered 2022-10-03)
Form ADVobserved 4 days ago
Occurred
Feb 24, 2023
Advisor changed firm
Crystal Allison Mckeon left Tri-Star Advisors, Inc. for Tsa Wealth Management (registered 2022-10-03)
Form ADVobserved 4 days ago
Occurred
Feb 24, 2023
Advisor changed firm
Jonathan Harrison Swanburg left Tri-Star Advisors, Inc. for Tsa Wealth Management (registered 2022-10-03)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:91f9ea32-1bff-6a8a-4fce-b2ddd7d71f2b
First observed: Nov 29, 2011
Last observed: Jun 12, 2023 39 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.

TRI-STAR ADVISORS, INC.

TRI-STAR ADVISORS INC., CRD 149760

HOUSTON, TX

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:91f9ea32-1bff-6a8a-4fce-b2ddd7d71f2b

Data as of Jun 12, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:35 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

WILLIAM THOMAS PAYNE

n/a

HOUSTON, TX

n/a

yes

JON CARTER VAUGHAN

Chartered Financial Analyst

HOUSTON, TX

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PAYNE, WILLIAM, THOMAS

President

yes

09/2009

Nov 29, 2011

Jun 12, 2023

VAUGHAN, JON, CARTER

CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER

yes

09/2009

Nov 29, 2011

Jun 12, 2023

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 16, 2023

$55.5M

n/a

2021

Mar 16, 2022

$355M

$348M

n/a

2020

Mar 19, 2021

$337M

$311M

n/a

2019

Mar 25, 2020

$278M

n/a

2018

Mar 29, 2019

$221M

n/a

2017

Mar 26, 2018

$157M

n/a

2016

Mar 31, 2017

$133M

n/a

2015

Mar 30, 2016

$132M

n/a

2014

Mar 30, 2015

$125M

n/a

2013

Mar 27, 2014

$120M

n/a

2012

Mar 26, 2013

$179M

n/a

2011

Mar 29, 2012

$151M

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

2022

$55.5M

$355M

-84.4%

$278M

-41.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

TSA WEALTH MANAGEMENT

Feb 24, 2023

Oct 3, 2022

HOUSTON, TX

Firm absorbed

RIA to RIA

60.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PARALLAX INVESTMENTS, LLC

Jul 30, 2018

Jul 19, 2018

HOUSTON, TX

Team lift out

Other

100.0%