{ "crd_number": 107764, "slug": "traphagen-financial-group-oradell-nj-107764", "primary_business_name": "TRAPHAGEN FINANCIAL GROUP", "legal_name": "TRAPHAGEN INVESTMENT ADVISORS LLC", "dbas": [ "TRAPHAGEN CPAS AND WEALTH ADVISORS" ], "city": "Oradell", "state": "NJ", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "1999-01-07", "years_registered": 27, "period": "2026-10-01", "filing_date": "2026-03-02", "carried_forward": false, "raum_total": 2278123079.0, "raum_discretionary": 2172420767.0, "raum_non_discretionary": 105702312.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 18, "advisory_employees": 16, "client_count_bucket": null, "clients_by_type": { "charitable": { "raum": 4454690.0, "count": 6 }, "individuals": { "raum": 254147384.0, "count": 1361 }, "pension_profit_sharing": { "raum": 198374082.0, "count": 110 }, "high_net_worth_individuals": { "raum": 1821146923.0, "count": 561 } }, "compensation_types": [ "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 1, "states_registered": [ "AZ", "CA", "CO", "CT", "FL", "GA", "IL", "MA", "MD", "NC", "NJ", "NY", "PA", "SC", "TX", "VA" ], "websites": [ "https://facebook.com/TraphagenFinancialGroup", "https://instagram.com/traphagen_financial", "https://linkedin.com/company/traphagen-financial-group", "https://tfgllc.com", "https://youtube.com/channel/UCMWdmtzP-FXl2WCAyHLvFRA" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/107764", "disclosure_items": [ { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" } ], "city_as_filed": "ORADELL", "url": "https://advisorcensus.com/firm/traphagen-financial-group-oradell-nj-107764", "display_name": "Traphagen Financial Group", "summary": "Traphagen Financial Group is an SEC-registered investment advisory firm in Oradell, NJ, registered since 1999, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 2, 2026.", "citation": "AdvisorCensus. Traphagen Financial Group (CRD 107764): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is Traphagen Financial Group compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Traphagen Financial Group reports these compensation arrangements: a percentage of assets under its management; hourly charges." }, { "q": "Where is Traphagen Financial Group located?", "a": "Traphagen Financial Group's principal office is in Oradell, NJ, according to its Form ADV." }, { "q": "Is Traphagen Financial Group registered with the SEC or a state?", "a": "Traphagen Financial Group is an SEC-registered investment advisory firm, registered since 1999. Status as filed: Approved. CRD 107764." }, { "q": "How much does Traphagen Financial Group manage?", "a": "Traphagen Financial Group reports $2,278,123,079 in regulatory assets under management in its Form ADV filing dated March 2, 2026 (95% discretionary)." }, { "q": "How have Traphagen Financial Group's assets and staff changed since 2021?", "a": "In the Form ADV data for Traphagen Financial Group: Regulatory assets under management: $922,269,756 in the October 2021 data and $2,278,123,079 in the October 2026 data, up 147%. Total employees: 10 in October 2021 and 18 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Traphagen Financial Group serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,361); high net worth individuals (561); pension and profit sharing plans (but not the plan participants or government pension plans) (110)." }, { "q": "Does Traphagen Financial Group report any disciplinary disclosures?", "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/107764" }, { "q": "What changed in Traphagen Financial Group's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 14 to 16. Regulatory assets under management went from $1,898,214,989 to $2,278,123,079 (+20%). Registered or notice-filed in MD, VA." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 922269756.0, "total_employees": 10, "filing_date": "2021-03-25" }, { "period": "2022-10-01", "regulatory_assets_under_management": 1161124984.0, "total_employees": 11, "filing_date": "2022-03-21" }, { "period": "2023-10-01", "regulatory_assets_under_management": 1151993318.0, "total_employees": 11, "filing_date": "2023-07-03" }, { "period": "2024-10-01", "regulatory_assets_under_management": 1528327743.0, "total_employees": 12, "filing_date": "2024-02-28" }, { "period": "2025-10-01", "regulatory_assets_under_management": 1898214989.0, "total_employees": 14, "filing_date": "2025-03-18" }, { "period": "2026-10-01", "regulatory_assets_under_management": 2278123079.0, "total_employees": 18, "filing_date": "2026-03-02" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 14 to 16.", "Regulatory assets under management went from $1,898,214,989 to $2,278,123,079 (+20%).", "Registered or notice-filed in MD, VA." ] }, { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "No longer registered or notice-filed in VT." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/traphagen-financial-group-oradell-nj-107764.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 1361, "fewer_than_5": false, "raum": 254147384.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 561, "fewer_than_5": false, "raum": 1821146923.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 110, "fewer_than_5": false, "raum": 198374082.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 6, "fewer_than_5": false, "raum": 4454690.0 } ], "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/107764", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }