Tranquilli Financial Advisor, Llc
- Regulatory AUM
- $199M
- Discretionary
- $199M
- Clients
- 225
- Avg AUM / client
- $886K
- Accounts
- 517
- Employees
- 2
AUM over time
Annual snapshots from Form ADV filings · as of Mar 26, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 141 | $38.0M | 19.1% |
| High net worth individuals | 80 | $160M | 80.5% |
| Pension and profit sharing plans | 1 | $533K | 0.27% |
| Charitable organizations | 3 | $428K | 0.21% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Louis Tranquilli | Member And Chief Compliance Officer | Oct 2018 (8y) | 75% or more | |
| Jenner Keyes Preston | Registered representative | Jan 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| T.I.M.E.S., Financial Planning, Inc. | Managing Member | Oct 2018 | A | Less than 5% |
Undisclosed: 0% – 25% 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/26/2026 | 937 KB | 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Axos Clearing $193M (97% of AUM) Mar 2026
- E*TRADE (Morgan Stanley) $121M (96% of AUM) Jan 2022
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 26, 2026.
View current Form ADV (SEC/IAPD) ↗