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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

TRIO ADVISORS, INC.

CRD 306431

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:fa068f37-e7b6-8c20-ec5a-78f78715a262

Data as of Mar 21, 2022 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 14, 2019 to Mar 21, 2022
14 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 3
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 2,224
High net worth clients: 2
SEC number: 801-117795
CRD: 306431
Filings on the tape: 14
First filed: Nov 14, 2019
Latest filed: Mar 21, 2022
Organised: Corporation, Delaware

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
Ganu, Neel	Owner	D	yes	08/2018	Nov 14, 2019	Mar 21, 2022
Ganu, Neel	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	01/2019	Nov 14, 2019	Mar 21, 2022
TRIO FINANCIAL TECHNOLOGIES	Owner	E	yes	01/2020	Nov 13, 2020	Mar 21, 2022

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	Private funds	Fund GAV
2021	Mar 21, 2022	n/a	n/a	3	1	n/a	n/a
2020	Feb 3, 2021	n/a	n/a	2	1	n/a	n/a
2019	Mar 30, 2020	n/a	n/a	2	1	n/a	n/a

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
2021	n/a	n/a	n/a	n/a	n/a	3	2	0	0

Relationships

Controls (2)

← Ganu, NeelOwnerOWNER, ownership code D, individual
Nov 14, 2019 to presentfactForm ADV
← TRIO FINANCIAL TECHNOLOGIESOwnerOWNER, ownership code E, domestic entity
Nov 13, 2020 to presentfactForm ADV

Dated events

Occurred
Nov 14, 2019
First Form ADV filing
Trio filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fa068f37-e7b6-8c20-ec5a-78f78715a262
First observed: Nov 14, 2019
Last observed: Mar 21, 2022 54 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.

TRIO ADVISORS, INC.

CRD 306431

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:fa068f37-e7b6-8c20-ec5a-78f78715a262

Data as of Mar 21, 2022 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:42 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Ganu, Neel

Owner

yes

08/2018

Nov 14, 2019

Mar 21, 2022

Ganu, Neel

PRESIDENT & CHIEF COMPLIANCE OFFICER

yes

01/2019

Nov 14, 2019

Mar 21, 2022

TRIO FINANCIAL TECHNOLOGIES

Owner

yes

01/2020

Nov 13, 2020

Mar 21, 2022

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 21, 2022

n/a

2020

Feb 3, 2021

n/a

2019

Mar 30, 2020

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

n/a