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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Former SEC-registered adviser

T•••• R••••• E•••••••• C••••••••• L••

Former SEC-registered adviserWexford, PennsylvaniaCRD 311549SEC 801-123205IAPD
Latest filing Jul 13, 2023
First filing on the tape Jan 10, 2022 · 13 filings
RAUM
$39.6M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
62%
$24.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$39.6M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$39.6M as of Jul 13, 2023
Jan 10, 2022$186M then
HNW client RAUM$6.1M as of Jul 13, 2023
Jan 10, 2022$29.0M then
State-registered IARs (5.B.3)1 as of Jul 13, 2023
Jan 10, 20222 then
Employees (5.A)2 as of Jul 13, 2023
Jan 10, 20222 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 13, 2023; every figure names its basis
RAUM per advisor
$39.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
103derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.0MderivedHNW RAUM over HNW clients
Average account
$218,635derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
  • Individuals$18.4M46%
  • Corporations and businesses$15.1M38%
  • High-net-worth individuals$6.1M15%
Individual clients
97reported
HNW clients
6reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
181reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
N••••••• D••• K••••••Certified Financial PlannerWexford, PaJan 15, 202113 y2
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K••••••• N•••••••• D••• · President/Managing Member & Chief Compliance Officercontrol
    since 09/2020 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Insurance-licensed employees · 1 to 0
    Jun 27, 2023 to Jul 13, 2023
  • Advisory employees · 2 to 1
    Apr 26, 2023 to Jun 1, 2023
  • Advisory activities · 5 to 4
    Apr 26, 2023 to Jun 1, 2023
  • State-registered IARs · 2 to 1
    Apr 26, 2023 to Jun 1, 2023
  • Accounts · 172 to 181
    Sep 14, 2022 to Feb 1, 2023
  • Corporate clients · 0 to 3
    Sep 14, 2022 to Feb 1, 2023
  • HNW clients · 14 to 6
    Sep 14, 2022 to Feb 1, 2023
  • Individual clients · 145 to 97
    Sep 14, 2022 to Feb 1, 2023
  • Pension plan clients · 4 to 0
    Sep 14, 2022 to Feb 1, 2023
  • Discretionary RAUM · $175M to $39.3M
    Sep 14, 2022 to Feb 1, 2023
  • HNW RAUM · $29.0M to $6.1M
    Sep 14, 2022 to Feb 1, 2023
  • Individual RAUM · $25.0M to $18.4M
    Sep 14, 2022 to Feb 1, 2023
  • Non-discretionary RAUM · $11.0M to $230,000
    Sep 14, 2022 to Feb 1, 2023
  • Pension RAUM · $11.0M to $0
    Sep 14, 2022 to Feb 1, 2023
  • RAUM · $186M to $39.6M
    Sep 14, 2022 to Feb 1, 2023
Signals
3 dated events
  • T•••• R••••• E•••••••• C••••••••• L•• reported RAUM $39.6M, down 79% from $186.0M (2022-09-14 to 2023-02-01)
    Feb 1, 2023 · RAUM change · derived
  • K•••••• A•• C••••••••• left T•••• R••••• E•••••••• C••••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2023-06-29)
    Jan 31, 2023 · Advisor changed firm · fact
  • T•••• R••••• E•••••••• C••••••••• L•• filed its initial SEC registration (Form ADV)
    Jan 10, 2022 · 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
Firm profile
linkedin.com/company/three-rivers-executive-consulting-trec/reportedpublic record, Form ADV, Sep 18, 2026
Website
tr-ec.comreportedpublic record, Form ADV, Sep 18, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$39.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026