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
Tcp Asset Management, LLC
Latest filing Jul 27, 2026
First filing on the tape Dec 9, 2016 · 106 filings
SEC status approved since Jan 3, 2017
RAUM
$1.2B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$1.2B individuals and HNW
Advisors
25
registered through the firm on IAPD
RAUM per advisor
$47.3M
derived; firm RAUM over IAPD count
Employees
43
21 advisory (5.B.1)
Offices
13
beyond the principal office
Private funds
0
reported on Schedule D
History
106 filings and snapshots on the tape
RAUM$1.2B as of Jul 27, 2026
Apr 12, 2017$97.6M then
HNW client RAUM$565M as of Jul 27, 2026
Mar 27, 2018$0 then
State-registered IARs (5.B.3)24 as of Jul 27, 2026
Apr 12, 201711 then
Employees (5.A)43 as of Jul 27, 2026
Apr 12, 201711 then
Private funds: no history
RAUM +44% over the last fiscal year+36% a year over threeIARs 21 to 24offices 11 to 13
Practice profile
derived from the filing of Jul 27, 2026; every figure names its basis
- RAUM per advisor
- $47.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $235,553derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%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
- 1.8derived14 offices incl. principal (1.F.5)
- RAUM growth, one year
- +44%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $27.3M, 71 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)
- 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)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$618M52%
- High-net-worth individuals$565M48%
- Individual clients
- 1,934reported
- HNW clients
- 287reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5,021reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $27.3M for 71 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=28.0derived
Advisors registered through the firm
25 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joshua Richard AllenCertified Financial Planner | Upper Arlington, Oh | Jan 13, 2017 | 20 y | 5 |
| Branda Rhae Allen | Upper Arlington, Oh | Jan 19, 2017 | 19 y | 2 |
| John Matthew Riley | Upper Arlington, Oh | Jan 19, 2017 | 32 y | 3 |
| Phillip Joseph Susi | Upper Arlington, Oh | Jan 19, 2017 | 20 y | 4 |
| Robert Michael Mitchell | Thompson Station, Tn | Jan 19, 2017 | 21 y | 2 |
| David Baldwin Meske | Columbus, Oh | Jan 20, 2017 | 26 y | 2 |
| Mary C Slane | Upper Arlington, Oh | Jan 20, 2017 | 33 y | 4 |
| Krista Susanne Kramer | Fort Wayne, In | Mar 14, 2017 | 22 y | 0 |
| Philip Hunter Bervig | Phoenix, Az | Dec 15, 2017 | 16 y | 2 |
| Alyse Nicole Breidenbach | Columbus, Oh | Jan 26, 2018 | 11 y | 0 |
| Derek Joseph Kesig | Upper Arlington, Oh | Nov 1, 2019 | 27 y | 2 |
| Klinton Krieger | Cheyenne, Wy | Aug 14, 2020 | 10 y | 1 |
| Diron Tappin | Camdenton, Mo | Sep 13, 2021 | 24 y | 4 |
| Benjamin G Randall | Upper Arlington, Oh | Mar 15, 2022 | 10 y | 2 |
| Scott Joseph ThomasChartered Financial Analyst | Upper Arlington, Oh | May 6, 2022 | 31 y | 2 |
| Ashley Brian Varner | Greensburg, Pa | Jan 31, 2023 | 38 y | 3 |
| Jessica Marie SimmonsCertified Financial Planner | Upper Arlington, Oh | Jan 22, 2024 | 15 y | 2 |
| Julianne Lorraine Call | Upper Arlington, Oh | Mar 26, 2024 | 42 y | 6 |
| Jennifer Lynne Miranda | Palm Springs, Ca | Apr 10, 2024 | 20 y | 0 |
| Rebecca Eve Goebel | Upper Arlington, Oh | Jun 11, 2024 | 33 y | 2 |
| Brad HennebertCertified Financial Planner | Weaterville, Oh | Aug 7, 2024 | 23 y | 0 |
| John Leonard Rutter | Greensburg, Pa | Aug 21, 2024 | 12 y | 0 |
| Dakota Riley Van Horn | Upper Arlington, Oh | Dec 10, 2025 | 10 y | 0 |
| Dale Edward BucknerCertified Financial Planner | Amarillo, Tx | Jan 7, 2026 | 38 y | 3 |
| Teresa Ann Roop | Amarillo, Tx | Jan 7, 2026 | 13 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Matthew Ryan Mccleese to Pnc Wealth ManagementMar 8, 2024 · RIA to affiliated broker-dealer or bank
- Keri Anne Holton to LPL Financial LLCDec 1, 2022 · RIA to RIA
- Aaron Scott Biederstedt to LPL Financial LLCDec 1, 2022 · RIA to RIA
- Susan H Stack to LPL Financial LLCNov 29, 2022 · RIA to RIA
- Jedidiah Adarquah-Yiadom to J.P. Morgan Securities LLCNov 17, 2021 · RIA to wirehouse
- Nickolas Magora to Cambridge Investment Research Advisors, Inc.Mar 9, 2020 · RIA to affiliated broker-dealer or bank
Joined, latest
- Teresa Ann Roop from Dale Buckner, Inc.Jan 7, 2026 · RIA to RIA
- Dale Edward Buckner from Dale Buckner, Inc.Jan 7, 2026 · RIA to RIA
- Rebecca Eve Goebel from Wells Fargo AdvisorsJun 11, 2024 · Wirehouse to independent RIA
- Jessica Marie Simmons from Aurora Wealth AdvisorsJan 22, 2024 · RIA to RIA
- Ashley Brian Varner from H. Beck, Inc.Jan 31, 2023 · Affiliated broker-dealer or bank to independent RIA
- Matthew Ryan Mccleese from Pruco Securities, LLCOct 28, 2022 · Affiliated broker-dealer or bank to independent RIA
- Scott Joseph Thomas from Pruco Securities, LLCMay 6, 2022 · Affiliated broker-dealer or bank to independent RIA
- Benjamin G Randall from Morgan StanleyMar 15, 2022 · Wirehouse to independent RIA
- Diron Tappin from Garp Research & Securities CompanySep 13, 2021 · Other
- Klinton Krieger from Wells Fargo AdvisorsAug 14, 2020 · Wirehouse to independent RIA
- Julianne Lorraine Call from United Planners' Financial Services Of America A Limited PartnerMar 25, 2020 · RIA to RIA
- Derek Joseph Kesig from MML Investors Services, LLCNov 1, 2019 · Affiliated broker-dealer or bank to independent RIA
- Nickolas Magora from Cetera Investment Advisers LLCJan 9, 2019 · Affiliated broker-dealer or bank to independent RIA
- Philip Hunter Bervig from Rich Goldman Asset Mgmt, LLCDec 15, 2017 · Other
- Mary C Slane from Trendency Capital Management, LLCJan 20, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for LPL Financial LLCDec 1, 2022 · Upper Arlington, Oh
- 2 joined from Dale Buckner, Inc.Mar 9, 2026 · Amarillo, Tx
- 7 joined from Trendency Capital Management, LLCJan 13, 2017 · Columbus, Oh · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Rhae Branda Allen · Chief Operating Officer And Partnercontrolsince 03/2020 · owns 10% to 25%
- Richard Joshua Allen · Chief Executive Officer And Partnercontrolsince 11/2016 · owns 25% to 50%
- Joseph Phillip Susi · Executive Vice President And Partnercontrolsince 11/2016 · owns 25% to 50%
- Hunter Philip Bervig · Chief Investment Officer And Partnersince 03/2020 · owns 25% to 50%
- Eve Rebecca Goebel · Chief Compliance Officersince 11/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Upper Arlington, Oh · principal | 23 | 3 | 0 | ||
| Columbus, Oh | 3 | 0 | 0 | ||
| Phoenix, Az | 3 | 0 | 0 | ||
| Amarillo, Tx | 2 | 2 | 0 | ||
| Greensburg, Pa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Columbus, OH3 employees
- Palm Springs, CA3 employees
- Phoenix, AZ2 employees
- Cheyenne, WY1 employees
- Greensburg, PA1 employees
- Thompson Station, TN1 employees
- , 1 employees
- Westerville, OH1 employees
- Aiken, SC1 employees
- Bellefontaine, OH1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Feb 13, 2026HNW share of RAUM moved from 25.0% to 48.0% between the annual amendments of 2025-04-25 and 2026-02-13peers: independent wealth managers, $1B to $5B (1,360)
- RAUM up 25 %Change between filings · filing Feb 13, 2026RAUM (Item 5.F) moved from $822,130,691 to $1,182,711,742 (+44.0%) between the annual amendments of 2025-04-25 and 2026-02-13; the peer median change was +17.0% (1297 comparable advisers, 91.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,297) · 91% percentile
What changed
consecutive filings, newest first
- Assets in custody · $32.6M to $27.3MFeb 13, 2026 to Jul 27, 2026
- Accounts · 3,930 to 5,021Oct 10, 2025 to Feb 13, 2026
- Advisory employees · 18 to 21Oct 10, 2025 to Feb 13, 2026
- BD registered reps · 25 to 28Oct 10, 2025 to Feb 13, 2026
- Corporate clients · 1.0 to unsetOct 10, 2025 to Feb 13, 2026
- HNW clients · 84 to 287Oct 10, 2025 to Feb 13, 2026
- Individual clients · 1,675 to 1,934Oct 10, 2025 to Feb 13, 2026
- Assets in custody · unset to 32640272.0Oct 10, 2025 to Feb 13, 2026
- Custody of client assets · false to trueOct 10, 2025 to Feb 13, 2026
- Employees · 38 to 43Oct 10, 2025 to Feb 13, 2026
- State-registered IARs · 21 to 24Oct 10, 2025 to Feb 13, 2026
- Other offices · 11 to 13Oct 10, 2025 to Feb 13, 2026
- Discretionary RAUM · $781M to $1.1BOct 10, 2025 to Feb 13, 2026
- HNW RAUM · $209M to $565MOct 10, 2025 to Feb 13, 2026
- Individual RAUM · $600M to $618MOct 10, 2025 to Feb 13, 2026
- Non-discretionary RAUM · $41.1M to $32.8MOct 10, 2025 to Feb 13, 2026
- RAUM · $822M to $1.2BOct 10, 2025 to Feb 13, 2026
- Employees · 34 to 38Jul 15, 2025 to Oct 10, 2025
- Employees · 35 to 34Apr 25, 2025 to Jul 15, 2025
- Financial planning clients · 51-100 to 51-100Apr 25, 2025 to Jul 15, 2025
- Accounts · 3,634 to 3,930Jan 31, 2025 to Feb 26, 2025
- HNW clients · 64 to 84Jan 31, 2025 to Feb 26, 2025
- Individual clients · 1,649 to 1,675Jan 31, 2025 to Feb 26, 2025
- Financial planning clients · More than 500 to 51-100Jan 31, 2025 to Feb 26, 2025
- Discretionary RAUM · $600M to $781MJan 31, 2025 to Feb 26, 2025
- HNW RAUM · $127M to $209MJan 31, 2025 to Feb 26, 2025
- Individual RAUM · $492M to $600MJan 31, 2025 to Feb 26, 2025
- Non-discretionary RAUM · $42.0M to $41.1MJan 31, 2025 to Feb 26, 2025
- RAUM · $642M to $822MJan 31, 2025 to Feb 26, 2025
- Advisory employees · 19 to 18Nov 22, 2024 to Jan 31, 2025
- Insurance-licensed employees · 1 to 0Nov 22, 2024 to Jan 31, 2025
- State-registered IARs · 22 to 21Nov 22, 2024 to Jan 31, 2025
- HQ city · COLUMBUS to UPPER ARLINGTONSep 4, 2024 to Oct 31, 2024
- Advisory employees · 18 to 19Aug 14, 2024 to Aug 22, 2024
- Employees · 34 to 35Aug 14, 2024 to Aug 22, 2024
- State-registered IARs · 21 to 22Aug 14, 2024 to Aug 22, 2024
- Advisory employees · 17 to 18Jul 4, 2024 to Aug 14, 2024
- BD registered reps · 24 to 25Jul 4, 2024 to Aug 14, 2024
- Employees · 33 to 34Jul 4, 2024 to Aug 14, 2024
- State-registered IARs · 20 to 21Jul 4, 2024 to Aug 14, 2024
Signals
11 dated events
- 2 advisors left Dale Buckner, Inc. (Amarillo, TX) for Tcp Asset Management, LLC on the same dayMar 9, 2026 · Team lift-out · derived
- Tcp Asset Management, Llc reported RAUM $1.2B, up 44% from $822.1M (2025-10-10 to 2026-02-13)Feb 13, 2026 · RAUM change · derived
- Tcp Asset Management, Llc reported RAUM $822.1M, up 28% from $641.8M (2025-01-31 to 2025-02-26)Feb 26, 2025 · RAUM change · derived
- Tcp Asset Management, Llc reported RAUM $641.8M, up 36% from $470.5M (2024-01-31 to 2024-03-14)Mar 14, 2024 · RAUM change · derived
- Matthew Ryan Mccleese left Tcp Asset Management, Llc for Pnc Wealth Management (registered 2024-02-29)Mar 8, 2024 · Advisor changed firm · fact
- Aaron Scott Biederstedt left Tcp Asset Management, Llc for Lpl Financial Llc (registered 2022-11-28)Dec 1, 2022 · Advisor changed firm · fact
- Keri Anne Holton left Tcp Asset Management, Llc for Lpl Financial Llc (registered 2022-11-28)Dec 1, 2022 · Advisor changed firm · fact
- 2 advisors left Tcp Asset Management, LLC (Upper Arlington, OH) for LPL Financial LLC on the same dayDec 1, 2022 · Team lift-out · derived
- Susan H Stack left Tcp Asset Management, Llc for Lpl Financial Llc (registered 2022-11-23)Nov 29, 2022 · Advisor changed firm · fact
- Tcp Asset Management, Llc reported RAUM $416.7M, up 32% from $316.6M (2022-02-08 to 2022-02-23)Feb 23, 2022 · RAUM change · derived
- Tcp Asset Management, Llc filed its initial SEC registration (Form ADV)Dec 9, 2016 · 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@tcpasset.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 602-494-0400reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 614-761-9378reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 724-837-8722reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- TCPASSET.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 614-761-9378reportedpublic record, Form ADV, Jul 27, 2026
- Contact form
- tcpasset.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- tcpasset.com/meet-the-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
- $47.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026