Traphagen Investment Advisors Llc
- Regulatory AUM
- $2.3B
- Discretionary
- $2.2B
- Clients
- 2,038
- Avg AUM / client
- $1.1M
- Accounts
- 2,038
- Employees
- 18
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 02, 2026
Investments (13F portfolio — 219 positions, $1,399,723,785)
13F period Jun 30, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Ishares Tr | CORE S&P500 ETF | $361,317,458 | 482,471 | 25.8% | 15.9% |
| 2 | American Centy Etf Tr | US EQT ETF | $130,097,334 | 1,015,751 | 9.29% | 5.71% |
| 3 | Victory Portfolios Ii | SHS FR CA FL ETF | $99,175,219 | 2,167,764 | 7.09% | 4.35% |
| 4 | Victory Portfolios Ii | VICT FR GROW ETF | $78,581,140 | 2,292,105 | 5.61% | 3.45% |
| 5 | Janus Detroit Str Tr | HEND SECU IN ETF | $55,346,695 | 1,080,779 | 3.95% | 2.43% |
| 6 | First Tr Exchange Traded Fd | NASDQ CLN EDGE | $51,877,877 | 270,550 | 3.71% | 2.28% |
| 7 | Apple Inc | COM | $46,051,049 | 159,148 | 3.29% | 2.02% |
| 8 | Janus Detroit Str Tr | HENDRSON AAA CL | $44,473,382 | 880,835 | 3.18% | 1.95% |
| 9 | Fidelity Covington Trust | ENHANCED INTL | $41,815,578 | 1,042,003 | 2.99% | 1.84% |
| 10 | Tortoise Capital Series Trus | NORTH AMRCN PIPE | $37,125,987 | 885,428 | 2.65% | 1.63% |
| 11 | Fidelity Covington Trust | MSCI UTILS INDEX | $26,262,330 | 449,543 | 1.88% | 1.15% |
| 12 | Vanguard Scottsdale Fds | INTER TERM TREAS | $26,068,809 | 441,994 | 1.86% | 1.14% |
| 13 | Ishares Tr | 0-3 MTH TREASURY | $25,271,536 | 251,033 | 1.81% | 1.11% |
| 14 | Vaneck Etf Trust | ALTE ASSE MA ETF | $22,753,979 | 1,061,286 | 1.63% | 1.0% |
| 15 | The Alger Etf Trust | AI ENABLERS ADOP | $18,866,070 | 413,367 | 1.35% | 0.83% |
| 16 | Vanguard Index Fds | S&P 500 ETF SHS | $17,634,799 | 25,676 | 1.26% | 0.77% |
| 17 | Vanguard Index Fds | TOTAL STK MKT | $17,231,717 | 46,567 | 1.23% | 0.76% |
| 18 | Bluerock Pvt Real Estate Fd | COM | $15,201,073 | 1,168,414 | 1.09% | 0.67% |
| 19 | Cme Group Inc | COM | $10,731,299 | 48,595 | 0.77% | 0.47% |
| 20 | Bitwise Bitcoin Etf Tr | SHS BEN INT | $10,512,625 | 329,963 | 0.75% | 0.46% |
| 21 | Berkshire Hathaway Inc Del | CL A | $10,483,900 | 14 | 0.75% | 0.46% |
| 22 | Goldman Sachs Group Inc | COM | $10,253,430 | 10,138 | 0.73% | 0.45% |
| 23 | Schwab Strategic Tr | US DIVIDEND EQ | $8,826,787 | 278,360 | 0.63% | 0.39% |
| 24 | Nvidia Corporation | COM | $7,893,641 | 39,450 | 0.56% | 0.35% |
| 25 | Ishares Tr | 20+ YEAR TR BD | $7,715,231 | 345,355 | 0.55% | 0.34% |
Top 25 of 219 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,361 | $254M | 11.2% |
| High net worth individuals | 561 | $1.8B | 79.9% |
| Pension and profit sharing plans | 110 | $198M | 8.71% |
| Charitable organizations | 6 | $4.5M | 0.2% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| The Institute Of Culinary Education 401(k) Plan The Institute Of Culinary Education, Inc. | 2024 | |
| Sportsfield Specialties, Inc. Profit Sharing And 401(k) Plan Sportsfield Specialties, Inc. | 2024 |
People (18)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| V Peter Traphagen | General Member | CFP Personal Financial Specialist | Sep 1997 (29y) | Less than 5% |
| V. Peter Traphagen | General Member, Chief Compliance Officer | Personal Financial Specialist | Sep 1997 (29y) | 75% or more |
| Lawrence, James, A. | Member | Sep 1998 (28y) | Less than 5% | |
| Traphagen, Robert, J. | Member | Sep 1998 (28y) | 5% – 10% | |
| Kathryn Marsico | Registered representative | Jun 2003 (23y) | ||
| Eric Daniel Mancini | Registered representative | Nov 2009 (17y) | ||
| Jeffrey Scott Hanson | Registered representative | Aug 2012 (14y) | ||
| Tiera Lynn Mulligan | Registered representative | Aug 2013 (13y) | ||
| Alexander Samuel Macchio | Registered representative | Jun 2015 (11y) | ||
| Christopher James Fundora | Registered representative | Jul 2017 (9y) | ||
| Eric Traphagen | Registered representative | Dec 2017 (9y) | ||
| William Chase Traphagen | Registered representative | Jul 2021 (5y) | ||
| Adrian Rodriguez | Registered representative | CFP | Jul 2023 (3y) | |
| Noah Peter Eleftheriades | Registered representative | Jan 2024 (3y) | ||
| Michael Joseph Lamagna | Registered representative | Nov 2025 (1y) | ||
| Austin James Briggs | Registered representative | CFP | Dec 2025 (1y) | |
| Chethan R Gourkanti | Registered representative | Dec 2025 (1y) | ||
| Michael Vincent Schmidig | Registered representative | Jul 2026 (0y) |
Undisclosed: 0% – 20% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| The Institute Of Culinary Education 401(k) Plan | The Institute Of Culinary Education, Inc. | 214 | $4.9M | 01/01/2024 |
| Sportsfield Specialties, Inc. Profit Sharing And 401(k) Plan | Sportsfield Specialties, Inc. | 261 | $14.7M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/02/2026 | 1.09 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 02, 2026.
View current Form ADV (SEC/IAPD) ↗