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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
T••• W••••• M••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Sep 2, 2025 · 2 filings
SEC status approved since Sep 29, 2025
RAUM
$134M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$133M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$33.5M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$134M as of Mar 23, 2026
Sep 2, 2025$101M then
HNW client RAUM$126M as of Mar 23, 2026
Sep 2, 2025$94.0M then
State-registered IARs (5.B.3)3 as of Mar 23, 2026
Sep 2, 20252 then
Employees (5.A)4 as of Mar 23, 2026
Sep 2, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
- RAUM per advisor
- $33.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $396,388derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $42.5M, 31 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
- High-net-worth individuals$126M94%
- Individuals$7.4M5.6%
- Charitable organizations$637,7320.5%
- Individual clients
- 37reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 338reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $42.5M for 31 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| M••••••• P•••••••• H••••••Certified Financial Planner | Great Falls, Va | Oct 3, 2023 | 12 y | 2 |
| K•••• D• M•••••••••Certified Financial Planner | Great Falls, Va | Oct 12, 2023 | 10 y | 1 |
| L••••• B••• | Great Falls, Va | Jan 30, 2026 | 10 y | 0 |
| C•••••••• G•••• B••• | Great Falls, Va | Apr 27, 2026 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C•••••••• G•••• B••• from J••• M••••• S••••••••• L••Apr 27, 2026 · Wirehouse to independent RIA
- K•••• D• M••••••••• from U••••• C•••••• F•••••••• A•••••••Oct 12, 2023 · Affiliated broker-dealer or bank to independent RIA
- M••••••• P•••••••• H•••••• from U••••• C•••••• F•••••••• A•••••••Oct 3, 2023 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• K••••• D• · Co-Founder And Chief Investment Officersince 10/2023 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Great Falls, Va · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 303 to 338Sep 2, 2025 to Mar 23, 2026
- Advisory employees · 2 to 3Sep 2, 2025 to Mar 23, 2026
- HNW clients · 45 to 49Sep 2, 2025 to Mar 23, 2026
- Individual clients · 31 to 37Sep 2, 2025 to Mar 23, 2026
- Assets in custody · $23.2M to $42.5MSep 2, 2025 to Mar 23, 2026
- Employees · 3 to 4Sep 2, 2025 to Mar 23, 2026
- State-registered IARs · 2 to 3Sep 2, 2025 to Mar 23, 2026
- Other offices · 2 to 3Sep 2, 2025 to Mar 23, 2026
- Discretionary RAUM · $101M to $134MSep 2, 2025 to Mar 23, 2026
- HNW RAUM · $94.0M to $126MSep 2, 2025 to Mar 23, 2026
- Individual RAUM · $6.7M to $7.4MSep 2, 2025 to Mar 23, 2026
- RAUM · $101M to $134MSep 2, 2025 to Mar 23, 2026
Signals
No event on the tape.
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@t•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 571-297-7273reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 571-470-0071reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 703-403-8836reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/trio-wealth-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- triowm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (703) 459-9171reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- triowm.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- $33.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026