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•••••• W••••• M••••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Dec 20, 2013 · 23 filings
SEC status approved since Sep 25, 2018
RAUM
$399M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
78%
$310M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$99.8M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$399M as of Mar 5, 2026
Feb 27, 2019$100M then
HNW client RAUM$263M as of Mar 5, 2026
Feb 27, 2019$64.0M then
State-registered IARs (5.B.3)4 as of Mar 5, 2026
Feb 27, 20193 then
Employees (5.A)7 as of Mar 5, 2026
Feb 27, 20196 then
Private funds: no history
RAUM +31% over the last fiscal year+25% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 5, 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
- 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
- RAUM per advisor
- $99.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $585,294derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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
- +8.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $203M, 186 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$263M66%
- Pension and profit-sharing plans$89.6M22%
- Individuals$46.1M12%
- Individual clients
- 106reported
- HNW clients
- 114reported
- Pension plan clients
- 20reported
- Charitable clients
- n/areported
- Accounts
- 682reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $203M for 186 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.22 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• C•••••• M•••Certified Financial Planner | Berwyn, Pa | Feb 18, 2014 | 26 y | 1 |
| M••••••• B••• W•••• | Berwyn, Pa | Mar 12, 2014 | 12 y | 0 |
| K•••• N••••• C••••••Certified Financial Planner | Berwyn, Pa | Mar 19, 2019 | 12 y | 0 |
| J••••• W••••Certified Financial Planner, Chartered Financial Consultant | Berwyn, Pa | Sep 27, 2019 | 18 y | 0 |
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
- J•• M•••••• B••••••••• to A•••••• A••••••• S•••••••Nov 13, 2017 · Other
Joined, latest
- J•• M•••••• B••••••••• from E•• F•••••••• A•••••••Jun 28, 2017 · Other
- J••• C•••••• M••• from P•••••• A•••••• G••••• L••Feb 18, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• J•••• C•••••• · Chief Compliance Officer, President, & Senior Wealth Managercontrolsince 01/2014 · 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 |
|---|---|---|---|---|---|
| Berwyn, Pa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 631 to 682Aug 13, 2025 to Mar 5, 2026
- HNW clients · 96 to 114Aug 13, 2025 to Mar 5, 2026
- Assets in custody · $159M to $203MAug 13, 2025 to Mar 5, 2026
- Discretionary RAUM · $288M to $380MAug 13, 2025 to Mar 5, 2026
- HNW RAUM · $208M to $263MAug 13, 2025 to Mar 5, 2026
- Individual RAUM · $45.8M to $46.1MAug 13, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $16.7M to $19.4MAug 13, 2025 to Mar 5, 2026
- Pension RAUM · $50.7M to $89.6MAug 13, 2025 to Mar 5, 2026
- RAUM · $304M to $399MAug 13, 2025 to Mar 5, 2026
- Financial planning clients · 0 to 0Feb 27, 2025 to Aug 13, 2025
- Accounts · 573 to 631Feb 12, 2024 to Feb 27, 2025
- HNW clients · 111 to 96Feb 12, 2024 to Feb 27, 2025
- Individual clients · 79 to 106Feb 12, 2024 to Feb 27, 2025
- Pension plan clients · 19 to 20Feb 12, 2024 to Feb 27, 2025
- Assets in custody · $120M to $159MFeb 12, 2024 to Feb 27, 2025
- Employees · 6 to 7Feb 12, 2024 to Feb 27, 2025
- Financial planning clients · 1-10 to 0Feb 12, 2024 to Feb 27, 2025
- Discretionary RAUM · $232M to $288MFeb 12, 2024 to Feb 27, 2025
- HNW RAUM · $187M to $208MFeb 12, 2024 to Feb 27, 2025
- Individual RAUM · $22.0M to $45.8MFeb 12, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $15.6M to $16.7MFeb 12, 2024 to Feb 27, 2025
- Pension RAUM · $39.0M to $50.7MFeb 12, 2024 to Feb 27, 2025
- RAUM · $248M to $304MFeb 12, 2024 to Feb 27, 2025
- Accounts · 511 to 573Dec 26, 2023 to Feb 9, 2024
- HNW clients · 95 to 111Dec 26, 2023 to Feb 9, 2024
- Pension plan clients · 24 to 19Dec 26, 2023 to Feb 9, 2024
- Assets in custody · $100.0M to $120MDec 26, 2023 to Feb 9, 2024
- Discretionary RAUM · $177M to $232MDec 26, 2023 to Feb 9, 2024
- HNW RAUM · $146M to $187MDec 26, 2023 to Feb 9, 2024
- Individual RAUM · $21.8M to $22.0MDec 26, 2023 to Feb 9, 2024
- Non-discretionary RAUM · $27.7M to $15.6MDec 26, 2023 to Feb 9, 2024
- Pension RAUM · $36.1M to $39.0MDec 26, 2023 to Feb 9, 2024
- RAUM · $204M to $248MDec 26, 2023 to Feb 9, 2024
- Accounts · 475 to 511May 24, 2022 to Feb 23, 2023
- HNW clients · 90 to 95May 24, 2022 to Feb 23, 2023
- Individual clients · 77 to 79May 24, 2022 to Feb 23, 2023
- Pension plan clients · 20 to 24May 24, 2022 to Feb 23, 2023
- Assets in custody · $84.0M to $100.0MMay 24, 2022 to Feb 23, 2023
- Discretionary RAUM · $168M to $177MMay 24, 2022 to Feb 23, 2023
- HNW RAUM · $149M to $146MMay 24, 2022 to Feb 23, 2023
Signals
1 dated events
- T•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 20, 2013 · 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
- Business email
- info@trinity-wealth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- eblakey@trinity-wealth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- hbaxendell@trinity-wealth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 610-296-2188reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 610-296-2020reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/trinity-wealth-management-llc---pareportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-296-2020reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- trinity-wealth.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- trinity-wealth.com/teamreportedpublished by the firm, firm site, Sep 17, 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
- $99.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026