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.

Former SEC-registered adviser

Trinitypoint Wealth, LLC

Former SEC-registered adviserMilford, ConnecticutCRD 297165SEC 801-113394websiteIAPD
Latest filing Oct 17, 2024
First filing on the tape May 7, 2018 · 34 filings
SEC status approved since Jun 4, 2018
RAUM
$1.4B
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
79%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.4B as of Mar 27, 2024
Mar 18, 2019$525M then
HNW client RAUM$765M as of Mar 27, 2024
Mar 18, 2019$319M then
State-registered IARs (5.B.3)10 as of Mar 27, 2024
Mar 18, 20196 then
Employees (5.A)15 as of Mar 27, 2024
Mar 18, 201911 then
Private funds: no history
RAUM +23% over the last fiscal year+11% a year over threeIARs 11 to 10
Practice profile
derived from the filing of Oct 17, 2024; every figure names its basis
RAUM per advisor
$142MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
105derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.1MderivedHNW RAUM over HNW clients
Average account
$309,316derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
5.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
-9.1%derivedItem 5.B.3 between annual amendments
Client growth, one year
+15%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
Custody
$742M, 718 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$765M54%
  • Individuals$354M25%
  • Pension and profit-sharing plans$164M12%
  • State and municipal entities$104M7.3%
  • Corporations and businesses$20.3M1.4%
  • Charitable organizations$9.7M0.7%
Individual clients
800reported
HNW clients
248reported
Pension plan clients
78reported
Charitable clients
13reported
Accounts
4,581reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$742M for 718 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Andrew James Betzig · Partner, Chief Executive Officercontrol
    since 05/2018 · owns less than 5%
  • Marie Jerilyn Shannon · Chief Compliance Officercontrol
    since 05/2018 · owns less than 5%
Entity owners
  • Trinitypoint Wealth Holdings, LLC · Member
    direct · owns 75% or more
  • Cd&R Ferdinand Co-Investor, L.P. · Partner
    indirect · owns 25% to 50% of Cd&R Ferdinand Holdings, L.P.
  • Cd&R Ferdinand Holdings, L.P. · Partner
    indirect · owns 50% to 75% of Ferdinand Ffp Ultimate Holdings, LP
  • Clayton, Dubilier & Rice Fund Xii, L.P. · Partner
    indirect · owns 50% to 75% of Cd&R Ferdinand Holdings, L.P.
  • Ferdinand Ffp Acquisition, LLC · Shareholder, Class A Common Stock
    indirect · owns 75% or more of Focus Financial Partners Inc.
  • Ferdinand Ffp Intermediate Holdings, LLC · Member
    indirect · owns 75% or more of Ferdinand Ffp Acquisition, LLC
  • Ferdinand Ffp Parent, Inc. · Member
    indirect · owns 75% or more of Ferdinand Ffp Intermediate Holdings, LLC
  • Ferdinand Ffp Ultimate Holdings, LP · Shareholder
    indirect · owns 75% or more of Ferdinand Ffp Parent, Inc.
  • Ferdinand Ffp Ultimate Holdings, LP · Shareholder, Class B Common Stock
    indirect · owns 75% or more of Focus Financial Partners Inc.
  • Focus Financial Partners Inc. · Member
    indirect · owns 75% or more of Focus Financial Partners, LLC
  • Focus Financial Partners, LLC · Member
    indirect · owns 75% or more of Focus Operating, LLC
  • Focus Operating, LLC · Managing Member
    indirect · owns 75% or more of Trinitypoint Wealth Holdings, LLC
Related persons
Schedule D 7.A
  • Coastal Bridge Advisors
    investment advisernRAUM $5.0B
  • Focus Risk Solutions, LLC
    real estaten
  • Trinitypoint Wealth Insurance, LLC
    real estatey
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Charlotte, Nc000
Milford, Ct · principal000
Offices
Schedule D 1.F, the 25 largest
  • Charlotte, NC1 employees
What changed
consecutive filings, newest first
  • Accounts · 3,980 to 4,581
    Sep 28, 2023 to Mar 27, 2024
  • Advisory employees · 11 to 10
    Sep 28, 2023 to Mar 27, 2024
  • Charity clients · 11 to 13
    Sep 28, 2023 to Mar 27, 2024
  • Corporate clients · 12 to 24
    Sep 28, 2023 to Mar 27, 2024
  • HNW clients · 232 to 248
    Sep 28, 2023 to Mar 27, 2024
  • Individual clients · 676 to 800
    Sep 28, 2023 to Mar 27, 2024
  • Pension plan clients · 70 to 78
    Sep 28, 2023 to Mar 27, 2024
  • Assets in custody · $734M to $742M
    Sep 28, 2023 to Mar 27, 2024
  • Employees · 17 to 15
    Sep 28, 2023 to Mar 27, 2024
  • State-registered IARs · 11 to 10
    Sep 28, 2023 to Mar 27, 2024
  • Discretionary RAUM · $1.0B to $1.3B
    Sep 28, 2023 to Mar 27, 2024
  • HNW RAUM · $619M to $765M
    Sep 28, 2023 to Mar 27, 2024
  • Individual RAUM · $266M to $354M
    Sep 28, 2023 to Mar 27, 2024
  • Non-discretionary RAUM · $113M to $138M
    Sep 28, 2023 to Mar 27, 2024
  • Pension RAUM · $139M to $164M
    Sep 28, 2023 to Mar 27, 2024
  • RAUM · $1.1B to $1.4B
    Sep 28, 2023 to Mar 27, 2024
  • Wrap assets (manager) · 0.0 to unset
    Sep 28, 2023 to Mar 27, 2024
  • Wrap assets (sponsor) · 0.0 to unset
    Sep 28, 2023 to Mar 27, 2024
  • Accounts · 3,316 to 3,980
    Aug 9, 2022 to Mar 27, 2023
  • Advisory employees · 8 to 11
    Aug 9, 2022 to Mar 27, 2023
  • BD registered reps · 3 to 2
    Aug 9, 2022 to Mar 27, 2023
  • Charity clients · 10 to 11
    Aug 9, 2022 to Mar 27, 2023
  • Corporate clients · 5 to 12
    Aug 9, 2022 to Mar 27, 2023
  • HNW clients · 211 to 232
    Aug 9, 2022 to Mar 27, 2023
  • Individual clients · 592 to 676
    Aug 9, 2022 to Mar 27, 2023
  • Pension plan clients · 62 to 70
    Aug 9, 2022 to Mar 27, 2023
  • Assets in custody · $820M to $734M
    Aug 9, 2022 to Mar 27, 2023
  • Employees · 15 to 17
    Aug 9, 2022 to Mar 27, 2023
  • State-registered IARs · 8 to 11
    Aug 9, 2022 to Mar 27, 2023
  • Discretionary RAUM · $1.1B to $1.0B
    Aug 9, 2022 to Mar 27, 2023
  • HNW RAUM · $680M to $619M
    Aug 9, 2022 to Mar 27, 2023
  • Individual RAUM · $251M to $266M
    Aug 9, 2022 to Mar 27, 2023
  • Non-discretionary RAUM · $127M to $113M
    Aug 9, 2022 to Mar 27, 2023
  • Pension RAUM · $162M to $139M
    Aug 9, 2022 to Mar 27, 2023
  • RAUM · $1.2B to $1.1B
    Aug 9, 2022 to Mar 27, 2023
  • Advisory activities · 5 to 6
    May 18, 2022 to Aug 9, 2022
  • Accounts · 2,828 to 3,316
    Aug 26, 2021 to Mar 29, 2022
  • Advisory employees · 7 to 8
    Aug 26, 2021 to Mar 29, 2022
  • Corporate clients · 3 to 5
    Aug 26, 2021 to Mar 29, 2022
  • HNW clients · 191 to 211
    Aug 26, 2021 to Mar 29, 2022
Signals
17 dated events
  • Trinitypoint Wealth, Llc no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $1.4B)
    Mar 6, 2025 · Left the SEC roster · derived
  • Matthew Charles Coutcher left Trinitypoint Wealth, Llc for Coastal Bridge Advisors (registered 2025-01-24)
    Jan 28, 2025 · Advisor changed firm · fact
  • William Michael Smiley left Trinitypoint Wealth, Llc for Coastal Bridge Advisors (registered 2025-01-24)
    Jan 28, 2025 · Advisor changed firm · fact
  • Lise Marie Robinson left Trinitypoint Wealth, Llc for Coastal Bridge Advisors (registered 2025-01-27)
    Jan 28, 2025 · Advisor changed firm · fact
  • Jana M L'Etoile left Trinitypoint Wealth, Llc for Coastal Bridge Advisors (registered 2025-01-24)
    Jan 28, 2025 · Advisor changed firm · fact
  • Kristopher Alexander Roper left Trinitypoint Wealth, Llc for Coastal Bridge Advisors (registered 2025-01-17)
    Jan 28, 2025 · Advisor changed firm · fact
  • James Andrew Betzig left Trinitypoint Wealth, Llc for Coastal Bridge Advisors (registered 2025-01-24)
    Jan 28, 2025 · Advisor changed firm · fact
  • Michael Francis Mahoney left Trinitypoint Wealth, Llc for Coastal Bridge Advisors (registered 2025-01-17)
    Jan 28, 2025 · Advisor changed firm · fact
  • Joseph Robert Romano left Trinitypoint Wealth, Llc for Coastal Bridge Advisors (registered 2025-01-24)
    Jan 28, 2025 · Advisor changed firm · fact
  • Eric Joseph Passeri left Trinitypoint Wealth, Llc for Coastal Bridge Advisors (registered 2025-01-27)
    Jan 28, 2025 · Advisor changed firm · fact
  • Dana Rose Mascalo left Trinitypoint Wealth, Llc for Coastal Bridge Advisors (registered 2025-01-24)
    Jan 28, 2025 · Advisor changed firm · fact
  • Trinitypoint Wealth, LLC's advisors moved to Coastal Bridge Advisors (Milford, CT): 8 of 10 registered, on the same day
    Jan 28, 2025 · Firm absorbed (people side) · derived
  • 2 advisors left Trinitypoint Wealth, LLC (Charlotte, NC) for Coastal Bridge Advisors on the same day
    Jan 28, 2025 · Team lift-out · derived
  • Tyler Joseph D'Amore left Trinitypoint Wealth, Llc for Bridgelight Financial Advisors, Inc (registered 2024-05-29)
    Feb 20, 2024 · Advisor changed firm · fact
  • Trinitypoint Wealth, Llc reported RAUM $1.0B, up 26% from $825.8M (2020-06-26 to 2021-03-25)
    Mar 25, 2021 · RAUM change · derived
  • Trinitypoint Wealth, Llc reported RAUM $737.6M, up 41% from $524.7M (2019-10-03 to 2020-03-04)
    Mar 4, 2020 · RAUM change · derived
  • Trinitypoint Wealth, Llc filed its initial SEC registration (Form ADV)
    May 7, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
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
Former SEC-registered adviserderiveda 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