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
Transce3nd LLC
Latest filing May 5, 2026
First filing on the tape Sep 1, 2022 · 25 filings
SEC status approved since Sep 30, 2022
RAUM
$419M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$405M individuals and HNW
Advisors
42
registered through the firm on IAPD
RAUM per advisor
$10.0M
derived; firm RAUM over IAPD count
Employees
60
42 advisory (5.B.1)
Offices
16
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$419M as of May 5, 2026
Mar 30, 2023$184M then
HNW client RAUM$166M as of May 5, 2026
Mar 30, 2023$104M then
State-registered IARs (5.B.3)42 as of May 5, 2026
Mar 30, 20239 then
Employees (5.A)60 as of May 5, 2026
Mar 30, 20239 then
Private funds: no history
RAUM +16% over the last fiscal year+31% a year over threeIARs 39 to 42
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $10.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $828,090derivedHNW RAUM over HNW clients
- Average account
- $159,957derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.5derived17 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +7.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -35%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $799MreportedItem 5.I
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$238M57%
- High-net-worth individuals$166M40%
- Corporations and businesses$7.7M1.8%
- Pension and profit-sharing plans$5.3M1.3%
- Investment companies$1.1M0.3%
- Individual clients
- 1,380reported
- HNW clients
- 201reported
- Pension plan clients
- 24reported
- Charitable clients
- n/areported
- Accounts
- 2,619reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $400M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=37.0derived
Advisors registered through the firm
42 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joseph Allen QuartucciChartered Financial Consultant | Buda, Tx | May 26, 2022 | 24 y | 3 |
| Mark Douglas CaldwellCertified Financial Planner | Buda, Tx | Jul 1, 2022 | 34 y | 4 |
| Clellan Vance Hyatt | Buda, Tx | Jul 1, 2022 | 11 y | 2 |
| Joshua Mark Huard | Buda, Tx | Jul 3, 2022 | 11 y | 2 |
| Jennifer Kristie Taylor | Buda, Tx | Jul 3, 2022 | 15 y | 2 |
| Kyle Jason Robarge | Buda, Tx | Jul 3, 2022 | 10 y | 2 |
| William Joseph Alexander | Dallas, Tx | Oct 3, 2022 | 20 y | 1 |
| Arpit Sharma | Buda, Tx | Oct 3, 2022 | 13 y | 0 |
| Bruce Gerard Wehner | Kirkwood, Mo | Oct 17, 2022 | 19 y | 2 |
| Conner Capps | Kirkwood, Mo | Oct 17, 2022 | 12 y | 3 |
| Stephen C Joseph | Buda, Tx | Oct 17, 2022 | 11 y | 2 |
| Mark Charles Schreiber | Buda, Tx | Oct 17, 2022 | 29 y | 4 |
| Robert Francis Schilly | Buda, Tx | Oct 24, 2022 | 21 y | 4 |
| Kyle Wilcutt | Buda, Tx | Oct 24, 2022 | 15 y | 2 |
| John Edward MoriartyChartered Financial Consultant | Buda, Tx | Oct 31, 2022 | 30 y | 6 |
| Jessica Michelle Knutson | Buda, Tx | Oct 31, 2022 | 17 y | 3 |
| Larry Kenneth LyonsChartered Financial Consultant | Buda, Tx | Nov 1, 2022 | 29 y | 3 |
| Donald Gene Durr | Beaumont, Tx | May 6, 2023 | 17 y | 3 |
| Steven Andrew Shorley | Buda, Tx | May 22, 2023 | 19 y | 2 |
| Keith Bernard Stinebaker | St Peters, Mo | May 23, 2023 | 18 y | 3 |
| Vincent Keith Annable | Buda, Tx | Jul 26, 2023 | 21 y | 8 |
| Robert Lloyd Annable | Scottsdale, Az | Jul 26, 2023 | 15 y | 8 |
| Chad Benoit | Buda, Tx | Sep 8, 2023 | 16 y | 0 |
| Amy Joslin | Henderson, Nv | Sep 14, 2023 | 11 y | 1 |
| Sebastiano Vassallo | Dallas, Tx | Oct 3, 2023 | 18 y | 0 |
| John Matthew Linn | Bastrop, Tx | Oct 3, 2023 | 14 y | 0 |
| Daniel Joseph Roemerman | Buda, Tx | Jan 4, 2024 | 23 y | 3 |
| Micah Anthony Medellin | Buda, Tx | May 29, 2024 | 14 y | 0 |
| Daniel R RicksPersonal Financial Specialist | Buda, Tx | Oct 25, 2024 | 13 y | 0 |
| Corwin Eugene Davidson | Round Rock, Tx | Dec 4, 2024 | 12 y | 4 |
| John Paul Miller | Buda, Tx | Apr 7, 2025 | 10 y | 1 |
| Cody Michael Surma | Buda, Tx | Jun 3, 2025 | 11 y | 0 |
| Tobin Allen Narciso Short | Scottsdale, Az | Jul 23, 2025 | 12 y | 1 |
| Steven J Perrmann | Buda, Tx | Aug 25, 2025 | 15 y | 2 |
| Troy Ray Thompson | Middleton, Id | Sep 3, 2025 | 18 y | 0 |
| Bryson Blackwell | Buda, Tx | Sep 25, 2025 | 10 y | 0 |
| Cole Stanton Pickett | Buda, Tx | Sep 29, 2025 | 13 y | 0 |
| Terence Herbert Taylor | Buda, Tx | Nov 15, 2025 | 18 y | 0 |
| Joel Everett | Walnut Creek, Ca | Feb 9, 2026 | 13 y | 2 |
| Ashley Marie Kempenski | Buda, Tx | Feb 19, 2026 | 12 y | 0 |
Advisor movement
5 left, 3 joined in 12 months
net -2 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 12% of current headcount7 left over 36 months
Left, latest
- Jeremy Doak Cheatham to Cwm, LLCJul 14, 2026 · RIA to affiliated broker-dealer or bank
- Lacey Thompson-Krul to Foundations Investment Advisors LLCJun 1, 2026 · RIA to RIA
- Raymond Cripps De Witt to Realta Investment Advisors, IncFeb 23, 2026 · RIA to affiliated broker-dealer or bank
- Ryan J Munoz to Realta Investment Advisors, IncJan 5, 2026 · RIA to affiliated broker-dealer or bank
- Lee Anthony Schwartz to FamilywealthDec 10, 2025 · RIA to RIA
- Justin Duane Mundt to Gibbs Wealth Management, LLCJul 29, 2025 · RIA to RIA
- Andrew John Dinkelmeyer to Arkadios Wealth AdvisorsApr 8, 2025 · RIA to affiliated broker-dealer or bank
- Larry Kenneth Lyons to Ae Wealth Management, LLCJul 15, 2022 · RIA to affiliated broker-dealer or bank
- John Edward Moriarty to Ae Wealth Management, LLCJul 13, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- Nikki Kay Polistina from Stableford Capital LLCApr 9, 2026 · RIA to RIA
- Joel Everett from Proxy FreedomFeb 9, 2026 · Other
- Raymond Cripps De Witt from Realta Investment Advisors, IncDec 10, 2025 · Affiliated broker-dealer or bank to independent RIA
- Steven J Perrmann from Kalos ManagementAug 25, 2025 · Affiliated broker-dealer or bank to independent RIA
- Tobin Allen Narciso Short from Equitable Advisors, LLCJul 23, 2025 · Affiliated broker-dealer or bank to independent RIA
- John Paul Miller from Equitable Advisors, LLCApr 7, 2025 · Affiliated broker-dealer or bank to independent RIA
- Corwin Eugene Davidson from Osaic Wealth, Inc.Dec 4, 2024 · Affiliated broker-dealer or bank to independent RIA
- Ryan J Munoz from Inspire Advisors, LLCNov 11, 2024 · RIA to RIA
- Justin Duane Mundt from Realta Investment Advisors, IncSep 12, 2024 · Affiliated broker-dealer or bank to independent RIA
- Daniel Joseph Roemerman from Arete Wealth Advisors, LLCJan 4, 2024 · Affiliated broker-dealer or bank to independent RIA
- Amy Joslin from Realta Investment Advisors, IncSep 14, 2023 · Affiliated broker-dealer or bank to independent RIA
- Robert Lloyd Annable from Wealth Strategies Advisory GroupJul 26, 2023 · Other
- Andrew John Dinkelmeyer from Wealth Strategies Advisory GroupJul 26, 2023 · Other
- Vincent Keith Annable from Realta Investment Advisors, IncJul 26, 2023 · Affiliated broker-dealer or bank to independent RIA
- Keith Bernard Stinebaker from Ae Wealth Management, LLCMay 23, 2023 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Ae Wealth Management, LLCJul 13, 2022 · Buda, Tx
- 2 joined from Wealth Strategies Advisory GroupNov 1, 2023 · Scottsdale, Az
- 2 joined from Ae Wealth Management, LLCJan 18, 2023 · Kirkwood, Mo
- 5 joined from Ae Wealth Management, LLCJan 17, 2023 · Topeka, Ks
- 5 joined from Kalos ManagementAug 1, 2022 · Ponte Vedra Beach, Fl
- 2 joined from Kalos ManagementAug 1, 2022 · Bastrop, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Tyler John Mattingly · Presidentcontrolsince 03/2024 · owns less than 5%
- Edward John Moriarty · Membercontrolsince 08/2022 · owns 25% to 50%
- Allen Joseph Quartucci · Chief Executive Officer, Membercontrolsince 12/2021 · owns 50% to 75%
- Alan Bruce Wheadon · Chief Compliance Officercontrolsince 05/2024 · owns less than 5%
- L Diana Wilkerson · Chief Operating Officersince 09/2022 · owns less than 5%
Related persons
Schedule D 7.A
- Apu Tax LLCinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Buda, Tx · principal | 42 | 7 | 3 | ||
| Kirkwood, Mo | 11 | 1 | 0 | ||
| Scottsdale, Az | 6 | 2 | 1 | ||
| Dallas, Tx | 3 | 1 | 0 | ||
| Bastrop, Tx | 2 | 0 | 0 | ||
| St Peters, Mo | 2 | 0 | 0 | ||
| Murray, Ut | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Kirkwood, MO8 employees
- Bastrop, TX3 employees
- Scottsdale, AZ3 employees
- Hazelwood, MO2 employees
- St. Peters, MO2 employees
- , 1 employees
- St. Peters, MO1 employees
- Stuart, FL1 employees
- White Bear Lake, MN1 employees
- Dallas, TX1 employees
- Cumming, GA1 employees
- Beaumont, TX1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 18, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $361,954,267 to $418,926,290, advisors 39 to 42, private clients 2430 to 1581, offices 16 to 16 (2025-03-17 to 2026-03-18)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Other offices · 17 to 16Feb 27, 2026 to Mar 18, 2026
- Accounts · 2,518 to 2,619Dec 8, 2025 to Feb 27, 2026
- Advisory employees · 39 to 42Dec 8, 2025 to Feb 27, 2026
- BD registered reps · 25 to 37Dec 8, 2025 to Feb 27, 2026
- Corporate clients · 25 to 14Dec 8, 2025 to Feb 27, 2026
- HNW clients · 93 to 201Dec 8, 2025 to Feb 27, 2026
- Individual clients · 2,337 to 1,380Dec 8, 2025 to Feb 27, 2026
- Pension plan clients · 62 to 24Dec 8, 2025 to Feb 27, 2026
- Employees · 41 to 60Dec 8, 2025 to Feb 27, 2026
- State-registered IARs · 39 to 42Dec 8, 2025 to Feb 27, 2026
- Other offices · 16 to 17Dec 8, 2025 to Feb 27, 2026
- Discretionary RAUM · $362M to $419MDec 8, 2025 to Feb 27, 2026
- HNW RAUM · $133M to $166MDec 8, 2025 to Feb 27, 2026
- Individual RAUM · $213M to $238MDec 8, 2025 to Feb 27, 2026
- Pension RAUM · $4.9M to $5.3MDec 8, 2025 to Feb 27, 2026
- RAUM · $362M to $419MDec 8, 2025 to Feb 27, 2026
- Wrap assets (sponsor) · $3.3M to $400MDec 8, 2025 to Feb 27, 2026
- Financial planning clients · 1-10 to 1-10Mar 17, 2025 to Jun 3, 2025
- Accounts · 2,378 to 2,518Aug 29, 2024 to Mar 17, 2025
- Advisory employees · 28 to 39Aug 29, 2024 to Mar 17, 2025
- BD registered reps · 22 to 25Aug 29, 2024 to Mar 17, 2025
- Corporate clients · 20 to 25Aug 29, 2024 to Mar 17, 2025
- HNW clients · 78 to 93Aug 29, 2024 to Mar 17, 2025
- Individual clients · 1,903 to 2,337Aug 29, 2024 to Mar 17, 2025
- Pension plan clients · unset to 62.0Aug 29, 2024 to Mar 17, 2025
- Assets in custody · 1078424.0 to unsetAug 29, 2024 to Mar 17, 2025
- Custody of client assets · true to falseAug 29, 2024 to Mar 17, 2025
- Employees · 31 to 41Aug 29, 2024 to Mar 17, 2025
- Financial planning clients · 0 to 1-10Aug 29, 2024 to Mar 17, 2025
- HQ city · KYLE to BUDAAug 29, 2024 to Mar 17, 2025
- State-registered IARs · 15 to 39Aug 29, 2024 to Mar 17, 2025
- Other offices · 12 to 16Aug 29, 2024 to Mar 17, 2025
- Discretionary RAUM · $313M to $362MAug 29, 2024 to Mar 17, 2025
- HNW RAUM · $125M to $133MAug 29, 2024 to Mar 17, 2025
- Individual RAUM · $172M to $213MAug 29, 2024 to Mar 17, 2025
- Pension RAUM · unset to 4888070.0Aug 29, 2024 to Mar 17, 2025
- RAUM · $313M to $362MAug 29, 2024 to Mar 17, 2025
- Wrap assets (manager) · $282M to $0Aug 29, 2024 to Mar 17, 2025
- Wrap assets (sponsor) · $282M to $3.3MAug 29, 2024 to Mar 17, 2025
- Other offices · 11 to 12Jun 5, 2024 to Jul 12, 2024
Signals
24 dated events
- Jeremy Doak Cheatham left Transce3Nd Llc for Cwm, Llc (registered 2026-08-19)Jul 14, 2026 · Advisor changed firm · fact
- Lacey Thompson-Krul left Transce3Nd Llc for Foundations Investment Advisors Llc (registered 2026-06-23)Jun 1, 2026 · Advisor changed firm · fact
- Raymond Cripps De Witt left Transce3Nd Llc for Realta Investment Advisors, Inc (registered 2026-02-27)Feb 23, 2026 · Advisor changed firm · fact
- Ryan J Munoz left Transce3Nd Llc for Realta Investment Advisors, Inc (registered 2026-02-06)Jan 5, 2026 · Advisor changed firm · fact
- Lee Anthony Schwartz left Transce3Nd Llc for Familywealth (registered 2026-01-13)Dec 10, 2025 · Advisor changed firm · fact
- Justin Duane Mundt left Transce3Nd Llc for Gibbs Wealth Management, Llc (registered 2025-07-02)Jul 29, 2025 · Advisor changed firm · fact
- Andrew John Dinkelmeyer left Transce3Nd Llc for Arkadios Wealth Advisors (registered 2025-04-09)Apr 8, 2025 · Advisor changed firm · fact
- Transce3Nd Llc reported 39 state-registered advisory representatives, up from 15 (2024-08-29 to 2025-03-17)Mar 17, 2025 · Advisor headcount change · derived
- Alan Bruce Wheadon (Chief Compliance Officer) appeared on Schedule A of Transce3Nd LlcMay 24, 2024 · Control person joined · fact
- Transce3Nd Llc reported RAUM $313.2M, up 70% from $184.3M (2023-07-27 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Transce3Nd Llc reported 10 offices beyond its principal office, up from 5 (2023-07-27 to 2024-03-29)Mar 29, 2024 · Office count change · derived
- Michael Max Mccomb (Chief Compliance Officer) no longer on Schedule A of Transce3Nd Llc (listed 2023-07-27, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Tyler John Mattingly (Chief Compliance Officer, President) appeared on Schedule A of Transce3Nd LlcMar 29, 2024 · Control person joined · fact
- 2 advisors left Wealth Strategies Advisory Group (Scottsdale, AZ) for Transce3Nd LLC on the same dayNov 1, 2023 · Team lift-out · derived
- Michael Max Mccomb (Chief Compliance Officer) appeared on Schedule A of Transce3Nd LlcJul 12, 2023 · Control person joined · fact
- 2 advisors left AE Wealth Management, LLC (Kirkwood, MO) for Transce3Nd LLC on the same dayJan 18, 2023 · Team lift-out · derived
- 5 advisors left AE Wealth Management, LLC (Topeka, KS) for Transce3Nd LLC within 8 daysJan 17, 2023 · Team lift-out · derived
- Transce3Nd Llc reported 5 offices beyond its principal office, up from 0 (2022-09-01 to 2022-11-01)Nov 1, 2022 · Office count change · derived
- Transce3Nd Llc filed its initial SEC registration (Form ADV)Sep 1, 2022 · First SEC registration · fact
- 5 advisors left Kalos Management (Ponte Vedra Beach, FL) for Transce3Nd LLC on the same dayAug 1, 2022 · Team lift-out · derived
- 2 advisors left Kalos Management (Bastrop, TX) for Transce3Nd LLC on the same dayAug 1, 2022 · Team lift-out · derived
- Larry Kenneth Lyons left Transce3Nd Llc for Ae Wealth Management, Llc (registered 2022-08-02)Jul 15, 2022 · Advisor changed firm · fact
- John Edward Moriarty left Transce3Nd Llc for Ae Wealth Management, Llc (registered 2022-07-29)Jul 13, 2022 · Advisor changed firm · fact
- 2 advisors left Transce3Nd LLC (Buda, TX) for AE Wealth Management, LLC within 2 daysJul 13, 2022 · Team lift-out · derived
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@transcendim.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 512-268-9210reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 512-268-9220reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- transcendim.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 512-268-9220reportedpublic record, Form ADV, May 5, 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
- $10.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026