Wealth manager, independent · Upper Arlington, OH
TCP Asset Management, LLC
SEC-registered investment adviser · CRD 286037 · SEC 801-108836
At a glance
TCP Asset Management, LLC is an SEC-registered investment adviser based in Upper Arlington, Ohio, with $1.2B in regulatory assets under management as of its Form ADV filed September 28, 2026. It reports 2,221 individual clients, 287 of them high-net-worth, holding an average of about $0.5 million each, and 43 employees. That ranks it 924th among the nation’s 5,657 independent wealth management RIAs and 42nd of 226 in Ohio. It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and SEI.
Main office 614-761-9378tcpasset.comAs filed on Form ADV
- Regulatory AUM
- $1.2B
- Rank among independent wealth managers
- #924 of 5,657
- Rank among all SEC RIAs
- #4,888 of 17,210
- Rank in Ohio
- #42 of 226
- Individual clients
- 2,221
- High-net-worth clients
- 287
- Accounts
- 5,021
- Discretionary
- 97% of AUM
- Employees
- 43
- Advisory staff
- 21
- Offices
- 14
Owners and executives on its Form ADV
- Joshua R. AllenChief Executive Officer and Partner
- Philip H. BervigChief Investment Officer and Partner
- Branda R. AllenChief Operating Officer and Partner
- Rebecca E. GoebelChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
TCP Asset Management, LLC is a hybrid RIA: 28 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed September 2026) names United Planners Financial Services, an unaffiliated broker-dealer, as the broker-dealer its advisers are registered with.
Registration as a Broker/Dealer or Broker/Dealer Representative All IARs of TCPAM are registered representatives with United Planners, an unaffiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 1,934 | $618M | 52% |
| High-net-worth individuals | 287 | $565M | 48% |
Disciplinary disclosures
TCP Asset Management, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗tcpasset.com ↗
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The full record on TCP Asset Management, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 8 years of filings
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- Growth over one, three and five years
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- Rank against 3,086 peers of its type and size
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- Owners and executives, with titles and stakes
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- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Ohio
All of Ohio →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Capital Advisors, LTD., LLCShaker Heights | $1.4B | 1,058 |
| Wealth Dimensions Group, LTD.Cincinnati | $1.2B | 704 |
| HCM Wealth AdvisorsCincinnati | $1.2B | 850 |
| W.A. Smith Financial GroupSandusky | $1.2B | 1,665 |
| Frazier Financial Advisors, LLCColumbus | $1.2B | 724 |
| Kohmann Bosshard Financial Services, LLC.Akron | $1.1B | 475 |
Background
Questions
How much does TCP Asset Management, LLC manage?
TCP Asset Management, LLC reports $1.2B in regulatory assets under management across 5,021 accounts, 97% of it on a discretionary basis, on its Form ADV filed September 28, 2026.
How many clients does TCP Asset Management, LLC have?
It reports 2,221 individual clients: 287 high-net-worth individuals and 1,934 other individuals. Individuals account for about 100% of its regulatory assets.
Where is TCP Asset Management, LLC headquartered?
Its main office is in Upper Arlington, Ohio. It reports 14 offices in total and 43 employees, 21 of whom perform investment advisory functions.
How does TCP Asset Management, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees; other. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does TCP Asset Management, LLC use?
It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and SEI. On Schedule D of its Form ADV filed September 28, 2026, it reports these amounts held: Charles Schwab ($769M); SEI ($122M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is TCP Asset Management, LLC a hybrid RIA with a broker-dealer?
TCP Asset Management, LLC is a hybrid RIA: 28 of its employees are also registered representatives of a broker-dealer. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is TCP Asset Management, LLC a fiduciary?
As an SEC-registered investment adviser, TCP Asset Management, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 28 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is TCP Asset Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-28), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →