TriState Wealth Advisors
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$26,975,000
This total excludes 5 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
65
15% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
65
Average account size
$415,000
About
Tri-State Wealth Advisors is an independent, single-advisor registered investment adviser that provides discretionary and non-discretionary portfolio management, financial planning, and pension/401(k) consulting for individual clients (including high-net-worth individuals) and employee benefit plans. The firm also incorporates tax preparation services into its planning offerings through an affiliated tax-preparation entity.
The adviser creates client-specific Investment Policy Statements and applies a mix of fundamental analysis, modern portfolio theory and technical analysis to a long-term trading approach, using a broad range of instruments such as mutual funds, ETFs, REITs, private placements and other alternatives. Clients receive ongoing monitoring and quarterly custodial reporting, and accounts are required to be maintained at designated custodians.
Distinctive aspects include the firm’s formal pension consulting capabilities—covering plan design, manager selection, monitoring and related plan-provider recommendations—and its affiliation with a tax-preparation firm to which clients may be referred. The combination of plan-level consulting, access to alternative investments, required custodian relationships and the receipt of research or services from custodians are features that set the firm apart from many solo independent advisers and may warrant review for potential conflicts of interest.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
General retirement planning
General tax planning
Cash flow / budgeting
Wealth management
Fee options
Financial planning fees range from $1,500 to $24,000; Fixed fees for pension consulting plans: $3,000 for up to $500,000 in assets; $1,500 for $500,001 to $1,000,000 in assets
$0 - $750,000: 1.00% $750,001 - $2,000,000: 0.85% $2,000,001 - $5,000,000: 0.50% $5,000,001+: 0.40%
$350 to $500 per hour
Main office location
TriState Wealth Advisors
263 E Main St, #B
Newark DE 19711, United States
Number of offices
1
Most active in
TriState Wealth Advisors has reported serving >5 clients in these states in the last 12 months.
Delaware · Pennsylvania
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 active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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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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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