DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Trippon Wealth Management Group LLC
Latest filing Mar 31, 2026
First filing on the tape Dec 14, 2011 · 13 filings
SEC status approved since Mar 27, 2024
RAUM
$262M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
74%
$193M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$262M as of Mar 31, 2026
Mar 30, 2012$111M then
HNW client RAUM$131M as of Mar 31, 2026
Jan 16, 2025$92.7M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Mar 11, 20131 then
Employees (5.A)5 as of Mar 31, 2026
Mar 11, 20132 then
Private funds: no history
RAUM +42% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $65.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $282,942derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +42%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +35%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$131M50%
- Pension and profit-sharing plans$69.5M26%
- Individuals$61.5M23%
- Individual clients
- 230reported
- HNW clients
- 60reported
- Pension plan clients
- 198reported
- Charitable clients
- 0reported
- Accounts
- 927reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.74 fund_share=0.0 institutional_share=0.26 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
4 left, 0 joined in 12 months
net -4 in 12 months4 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- Tyler Olson to Wealth Enhancement Advisory Services, LLCSep 1, 2026 · RIA to affiliated broker-dealer or bank
- Mitchell Craig to Wealth Enhancement Advisory Services, LLCSep 1, 2026 · RIA to affiliated broker-dealer or bank
- Travis Rhoad to Wealth Enhancement Advisory Services, LLCSep 1, 2026 · RIA to affiliated broker-dealer or bank
- James Mark Trippon to Wealth Enhancement Advisory Services, LLCSep 1, 2026 · RIA to affiliated broker-dealer or bank
- Jordan Davis Mathews to Sage Harbor Advisors, Inc.Jun 29, 2009 · Other
Joined, latest
- James Mark Trippon from Raymond James Financial Services, Inc.Jan 31, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for Wealth Enhancement Advisory Services, LLCSep 1, 2026 · Houston, Tx · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Mark James Trippon · Managing Member, Chief Compliance Officercontrolsince 06/2005 · owns 75% or more
Related persons
Schedule D 7.A
- James Tripponinsurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 0 | 0 | 4 |
Offices
Schedule D 1.F, the 25 largest
- The Woodlands, TX1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $185,235,326 to $262,287,030 (+42.0%) between the annual amendments of 2025-03-05 and 2026-03-31; the peer median change was +15.0% (4551 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,551) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 830 to 927Mar 5, 2025 to Mar 31, 2026
- HNW clients · 45 to 60Mar 5, 2025 to Mar 31, 2026
- Individual clients · 170 to 230Mar 5, 2025 to Mar 31, 2026
- Pension plan clients · 211 to 198Mar 5, 2025 to Mar 31, 2026
- Employees · 4 to 5Mar 5, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 251-500Mar 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $171M to $245MMar 5, 2025 to Mar 31, 2026
- HNW RAUM · $92.7M to $131MMar 5, 2025 to Mar 31, 2026
- Individual RAUM · $47.9M to $61.5MMar 5, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $13.7M to $16.9MMar 5, 2025 to Mar 31, 2026
- Pension RAUM · $44.7M to $69.5MMar 5, 2025 to Mar 31, 2026
- RAUM · $185M to $262MMar 5, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Jan 16, 2025 to Mar 5, 2025
- Accounts · 752 to 830Apr 22, 2024 to Jan 16, 2025
- HNW clients · 9 to 45Apr 22, 2024 to Jan 16, 2025
- Individual clients · 177 to 170Apr 22, 2024 to Jan 16, 2025
- Pension plan clients · 6 to 211Apr 22, 2024 to Jan 16, 2025
- Discretionary RAUM · $116M to $171MApr 22, 2024 to Jan 16, 2025
- HNW RAUM · $40.2M to $92.7MApr 22, 2024 to Jan 16, 2025
- Individual RAUM · $92.2M to $47.9MApr 22, 2024 to Jan 16, 2025
- Non-discretionary RAUM · $18.2M to $13.7MApr 22, 2024 to Jan 16, 2025
- Pension RAUM · $1.9M to $44.7MApr 22, 2024 to Jan 16, 2025
- RAUM · $134M to $185MApr 22, 2024 to Jan 16, 2025
- Accounts · 235 to 752Mar 28, 2014 to Feb 24, 2024
- Advisory employees · 2 to 4Mar 28, 2014 to Feb 24, 2024
- Advisory activities · 2 to 4Mar 28, 2014 to Feb 24, 2024
- Charity clients · unset to 0.0Mar 28, 2014 to Feb 24, 2024
- Corporate clients · unset to 0.0Mar 28, 2014 to Feb 24, 2024
- HNW clients · unset to 9.0Mar 28, 2014 to Feb 24, 2024
- Individual clients · unset to 177.0Mar 28, 2014 to Feb 24, 2024
- Pension plan clients · unset to 6.0Mar 28, 2014 to Feb 24, 2024
- Pooled vehicle clients · unset to 0.0Mar 28, 2014 to Feb 24, 2024
- Employees · 3 to 4Mar 28, 2014 to Feb 24, 2024
- Financial planning clients · unset to 0Mar 28, 2014 to Feb 24, 2024
- State-registered IARs · 1 to 4Mar 28, 2014 to Feb 24, 2024
- Other offices · unset to 1.0Mar 28, 2014 to Feb 24, 2024
- Discretionary RAUM · $49.8M to $116MMar 28, 2014 to Feb 24, 2024
- HNW RAUM · unset to 40153359.0Mar 28, 2014 to Feb 24, 2024
- Individual RAUM · unset to 92233164.0Mar 28, 2014 to Feb 24, 2024
- Non-discretionary RAUM · $5.2M to $18.2MMar 28, 2014 to Feb 24, 2024
Signals
7 dated events
- Travis Rhoad left Trippon Wealth Management Group Llc for Wealth Enhancement Advisory Services, Llc (registered 2026-07-16)Sep 1, 2026 · Advisor changed firm · fact
- Mitchell Craig left Trippon Wealth Management Group Llc for Wealth Enhancement Advisory Services, Llc (registered 2026-07-16)Sep 1, 2026 · Advisor changed firm · fact
- Tyler Olson left Trippon Wealth Management Group Llc for Wealth Enhancement Advisory Services, Llc (registered 2026-07-16)Sep 1, 2026 · Advisor changed firm · fact
- James Mark Trippon left Trippon Wealth Management Group Llc for Wealth Enhancement Advisory Services, Llc (registered 2026-07-16)Sep 1, 2026 · Advisor changed firm · fact
- Trippon Wealth Management Group LLC's advisors moved to Wealth Enhancement Advisory Services, LLC (Houston, TX): 4 of 4 registered, on the same daySep 1, 2026 · Firm absorbed (people side) · derived
- Drake Kimberly Gilbert (Chief Compliance Officer And Operations Manager) no longer on Schedule A of Trippon Wealth Management Group Llc (listed 2014-03-28, absent 2024-02-24)Feb 24, 2024 · Control person left · inference
- Trippon Wealth Management Group Llc filed its initial SEC registration (Form ADV)Feb 24, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 713-661-1040reportedpublic record, Form ADV, Apr 22, 2024
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026