Tannin Capital, Llc
- Regulatory AUM
- $825M
- Discretionary
- $460M
- Clients
- 90
- Avg AUM / client
- $9.2M
- Accounts
- 532
- Employees
- 7
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 16 | $4.8M | 0.58% |
| High net worth individuals | 64 | $131M | 15.8% |
| Other investment advisers | Fewer than 5 clients | $117M | 14.2% |
| Corporations and other businesses | 10 | $44.4M | 5.39% |
| Other | Fewer than 5 clients | $528M | 64.0% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Active Concepts, Llc 401(k) Plan Active Concepts, Llc | 2024 |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Clay Hutchinson Young | Sole Member And Chief Compliance Officer | CFA | Mar 2017 (9y) | 75% or more |
| William Joseph Blanton | Registered representative | Oct 2021 (5y) |
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.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Active Concepts, Llc 401(k) Plan | Active Concepts, Llc | 133 | $9.5M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.09 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: ON JULY 28, 2021, TANNIN CAPITAL ENTERED INTO A FINAL ORDER WITH THE NORTH CAROLINA DEPARTMENT OF THE SECRETARY OF STATE SECURITIES DIVISION. THE ORDER RELATED TO ALLEGATIONS THAT TANNIN CAPITAL WAS NOT ELIGIBLE FOR REGISTRATION WITH U.S. SECURITIES AND EXCHANGE COMMISSION FROM OCTOBER 2019 TO APRIL 2020 BECAUSE TANNIN CAPITAL PUBLISHED ITS WEBSITE, WWW.TANNINCAPTIAL.COM. THE ORDER ALLEGES THAT DURING THE MONTHS THAT TANNIN CAPITAL OPERATED ITS WEBSITE IT WAS NEITHER REGISTERED IN NORTH CAROLINA NOR ELIGIBLE FOR AN EXEMPTION FROM REGISTRATION AND THEREFORE WAS IN VIOLATION OF N.C. GEN. STAT §78C-16(A). AT ALL TIMES TANNIN CAPITAL WAS REGISTERED WITH THE US SECURITIES AND EXCHANGE COMMISSION. PURSUANT TO THE ORDER TANNIN CAPITAL AGREED TO PAY A $2,500 CIVIL PENALTY. Status: Final Sanction Detail: TANNIN AGREED TO PAY A CIVIL PENALTY OF $2,500. TANNIN ALSO AGREED TO PAY THE NORTH CAROLINA DEPARTMENT OF THE SECRETARY OF STATE REIMBURSEMENTS OF THE COSTS OF THE INVESTIGATION IN THE AMOUNT $42,500. Summary: TANNIN CAPITAL CONTINUES TO BE REGISTRED WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION AS AN INVESTMENT ADVISER AND IS NOT INVIOLATION OF ANY STATE REGISTRATION REQUIRMENTS.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Us Bancorp $528M (64% of AUM) Mar 2026
- Raymond James $152M (18% of AUM) Mar 2026
- Charles Schwab & Co. $145M (18% of AUM) Mar 2026
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 31, 2026.
View current Form ADV (SEC/IAPD) ↗