TPW Finance LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$8,600,000
Clients
5
60% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
5
Very LowAverage account size
$1,720,000
About
TPW Finance LLC provides discretionary asset management and related financial planning to individuals (including high-net-worth clients), trusts, small businesses and estates. Financial planning is offered to asset-management clients at no additional cost, and implementation of recommendations is at the client’s discretion.
Portfolios are managed based on each client’s stated goals, time horizon and risk tolerance, with periodic reviews and rebalancing; the firm describes using fundamental, technical and cyclical analysis and may utilize a range of instruments from mutual funds and ETFs to fixed income, options and private placements. Custody and trade execution are directed to a single institutional custodian, and account reviews are performed quarterly with compliance oversight of personal trading.
What is notable about the firm relative to most independent advisers is its fee model: TPW does not charge traditional percentage-of-assets-under-management fees and instead uses a fixed annual fee schedule billed in advance. The firm is a recently established, small-practice adviser that discloses it does not accept external sales compensation, does not sponsor wrap programs, and delegates proxy voting to clients.
Client services
Financial planning
Portfolio management
Expertise
ESG / Sustainable investing
Options & derivatives strategies
Fee options
$1,000,000 - $1,500,000: $10,000 annually $1,500,001 - $3,000,000: $20,000 annually $3,000,001 - $5,000,000: $30,000 annually $5,000,001 - $10,000,000: $50,000 annually Over $10,000,000+: Negotiable
Account minimum: $1,000,000 Fee-only: Annual asset management fees as above; financial planning services provided at no additional cost for asset management clients.
Main office location
TPW Finance LLC
Mountain View CA, United States
Number of offices
1
Most active in
TPW Finance LLC has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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