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.
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SEC-registered adviser
T•••••• C•••••• M•••••••••
Legal name T•••••• C•••••• M••••••••• I•••
Latest filing Sep 14, 2026
First filing on the tape Mar 8, 2012 · 49 filings
SEC status approved since Nov 5, 2013
RAUM
$2.4B
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
100%
$2.4B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$346M
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$2.4B as of Jul 31, 2026
Mar 8, 2012$40.0M then
HNW client RAUM$965M as of Jul 31, 2026
Mar 5, 2018$105M then
State-registered IARs (5.B.3)6 as of Jul 31, 2026
Feb 4, 20142 then
Employees (5.A)12 as of Jul 31, 2026
Feb 4, 20142 then
Private funds: no history
RAUM +31% over the last fiscal year+43% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $346MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 227derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 77%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +61%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $2.4B, 1,680 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.5B60%
- High-net-worth individuals$965M40%
- Individual clients
- 1,180reported
- HNW clients
- 410reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,660reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.4B for 1,680 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• T••••• T••••••Certified Financial Planner | Malvern, Pa | Feb 7, 2006 | 35 y | 0 |
| M•••••• R••••• I••••• | Malvern, Pa | Jan 16, 2016 | 11 y | 0 |
| D•••• C••••• P••• | Malvern, Pa | Jan 16, 2017 | 11 y | 0 |
| R••••• N••••• L•••• | Malvern, Pa | Mar 18, 2022 | 13 y | 0 |
| J•••• V••••••••• | Malvern, Pa | Oct 17, 2023 | 13 y | 0 |
| M•••••• J••• J••••• | Malvern, Pa | Feb 13, 2024 | 39 y | 1 |
| S•••• A•••••• A••••• | Malvern, Pa | Aug 26, 2025 | 28 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- B•••••• S••••• B••••• to W••••••Jun 1, 2016 · Other
- M•••••• N• D• Q•••••• to B•• P•••••••• I•••Mar 4, 2016 · Other
Joined, latest
- S•••• A•••••• A••••• from S••••• M•••••••••Aug 26, 2025 · RIA to RIA
- M•••••• J••• J••••• from C•••••• S••••• • C••• I•••Feb 13, 2024 · Affiliated broker-dealer or bank to independent RIA
- B•••••• S••••• B••••• from R••••••••• A•••• M••••••••• I•••Mar 10, 2014 · Other
- M•••••• N• D• Q•••••• from M••••• S••••••Jul 5, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••• K••••• T••••• · Chief Executive Officer, Shareholder, Chief Compliance Officercontrolsince 12/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Malvern, Pa · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Apr 8, 2026individual and HNW clients (Item 5.D) moved from 985.0 to 1,590.0 (+61.0%) between the annual amendments of 2025-03-26 and 2026-04-08; the peer median change was +5.0% (1132 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,132) · 97% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 251-500 to 251-500Jul 31, 2026 to Sep 14, 2026
- Related adviser · false to unsetJul 31, 2026 to Sep 14, 2026
- Related bank · false to unsetJul 31, 2026 to Sep 14, 2026
- Related broker-dealer · false to unsetJul 31, 2026 to Sep 14, 2026
- Related insurance company · false to unsetJul 31, 2026 to Sep 14, 2026
- Succession · false to unsetJul 31, 2026 to Sep 14, 2026
- Accounts · 1,425 to 1,660Mar 26, 2025 to Mar 24, 2026
- HNW clients · 160 to 410Mar 26, 2025 to Mar 24, 2026
- Individual clients · 825 to 1,180Mar 26, 2025 to Mar 24, 2026
- Assets in custody · $1.3B to $2.4BMar 26, 2025 to Mar 24, 2026
- Discretionary RAUM · $1.4B to $1.9BMar 26, 2025 to Mar 24, 2026
- HNW RAUM · $584M to $965MMar 26, 2025 to Mar 24, 2026
- Individual RAUM · $1.3B to $1.5BMar 26, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $456M to $551MMar 26, 2025 to Mar 24, 2026
- RAUM · $1.8B to $2.4BMar 26, 2025 to Mar 24, 2026
- Accounts · 1,275 to 1,425Mar 13, 2024 to Mar 26, 2025
- Advisory employees · 4 to 6Mar 13, 2024 to Mar 26, 2025
- HNW clients · 155 to 160Mar 13, 2024 to Mar 26, 2025
- Individual clients · 848 to 825Mar 13, 2024 to Mar 26, 2025
- Assets in custody · $1.2B to $1.3BMar 13, 2024 to Mar 26, 2025
- Financial planning clients · 251-500 to 251-500Mar 13, 2024 to Mar 26, 2025
- State-registered IARs · 4 to 6Mar 13, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.1B to $1.4BMar 13, 2024 to Mar 26, 2025
- HNW RAUM · $411M to $584MMar 13, 2024 to Mar 26, 2025
- Individual RAUM · $834M to $1.3BMar 13, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $179M to $456MMar 13, 2024 to Mar 26, 2025
- RAUM · $1.2B to $1.8BMar 13, 2024 to Mar 26, 2025
- Accounts · 1,284 to 1,275Mar 5, 2023 to Mar 13, 2024
- Advisory employees · 3 to 4Mar 5, 2023 to Mar 13, 2024
- HNW clients · 145 to 155Mar 5, 2023 to Mar 13, 2024
- Individual clients · 820 to 848Mar 5, 2023 to Mar 13, 2024
- Assets in custody · $242M to $1.2BMar 5, 2023 to Mar 13, 2024
- Employees · 9 to 12Mar 5, 2023 to Mar 13, 2024
- Discretionary RAUM · $660M to $1.1BMar 5, 2023 to Mar 13, 2024
- HNW RAUM · $271M to $411MMar 5, 2023 to Mar 13, 2024
- Individual RAUM · $552M to $834MMar 5, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $163M to $179MMar 5, 2023 to Mar 13, 2024
- RAUM · $823M to $1.2BMar 5, 2023 to Mar 13, 2024
- Accounts · 1,900 to 1,284Mar 17, 2022 to Mar 5, 2023
- HNW clients · 115 to 145Mar 17, 2022 to Mar 5, 2023
Signals
8 dated events
- T•••••• C•••••• M••••••••• reported RAUM $2.4B, up 31% from $1.8B (2025-03-26 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- T•••••• C•••••• M••••••••• reported RAUM $1.8B, up 48% from $1.2B (2024-03-13 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- T•••••• C•••••• M••••••••• reported RAUM $1.2B, up 51% from $823.1M (2023-03-05 to 2024-03-13)Mar 13, 2024 · RAUM change · derived
- T•••••• C•••••• M••••••••• reported RAUM $934.1M, up 29% from $726.0M (2021-09-23 to 2022-03-17)Mar 17, 2022 · RAUM change · derived
- T•••••• C•••••• M••••••••• reported RAUM $726.0M, up 51% from $480.0M (2021-01-06 to 2021-02-08)Feb 8, 2021 · RAUM change · derived
- T•••••• C•••••• M••••••••• reported RAUM $480.0M, up 43% from $335.0M (2019-11-13 to 2020-02-08)Feb 8, 2020 · RAUM change · derived
- T•••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Oct 28, 2013 · First SEC registration · fact
- T•••••• C•••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jun 27, 2012 · Succession (Item 4) · 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
- Business phone
- 610-561-3556reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-993-9050reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-993-9050reportedpublic record, Form ADV, Sep 14, 2026
- Contact form
- traynorcapitalmanagement.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- traynorcapitalmanagement.com/meet-our-teamreportedpublished by the firm, firm site, Sep 15, 2026
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
- $346Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026