Trh Financial LLC (North Liberty)


Trh Financial LLC is a large advisory firm based in North Liberty. It manages $253.11 million of regulatory assets for 1,524 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of Arizona, Florida, Illinois, Iowa, and Texas.

Trh Financial provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, and educational seminars and workshops. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Trh Financial: assets under management

The assets under management (AUM) of Trh Financial LLC is $253.11 million. The firm's AUM has grown by 322% since the beginning of its operation, and $295.43 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $243.57 million in discretionary accounts and $9.54 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $165.36 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $187.06 thousand.
Trh Financial has custody of $78.96 million in cash and securities for 339 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 71% of the total AUM. The second-largest asset type is exchange traded securities, which make up 18% of the firm’s portfolio. Investments in cash and cash equivalents form 6% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Trh Financial LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Trh Financial serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Trh Financial is high net worth individuals with 112 clients and $149.95 million of assets under management. Among the 7 most similar advisory firms, Trh Financial has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $252.71 million for 493 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Trh Financial doesn't advise any private funds.

Careers at Trh Financial LLC

The company employs 13 people that are either part- or full-time employees. 62 percent of the employees work as investment advisers or researchers. 8 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Timothy Ryan Hawkins Managing member & chief compliance officer 1 Dec 2007 75% - 100% 2493240
Anthony Joseph Gaiffe Director of research & chief compliance officer 1 Sep 2012 Other 3234775
Amr Financial Member 1 Jan 2017 Other 27-1521182
Hawkins Holdings Llc Managing member 1 Jan 2017 75% - 100% 81-4584052
Angela Sue Breitsprecher Chief compliance officer 1 Jan 2018 Other 6261548

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Timothy Ryan Hawkins Managing member 1 Jan 2017 75% - 100% 2493240
Aaron Michael Robertson Managing member 1 Jan 2017 75% - 100% 5598732

Based in North Liberty

The principal office where Trh Financial LLC performs its advisory services is located at 1210 Jordan St., Suite 3, North Liberty, IA 52317, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 319-626-3580 or by fax 319-626-3610. The normal business hours are 8am-5pm on Monday - Friday. You can find more information about the New York firm at hawkinswealth.com and its LinkedIn profile.