Tfc Financial Management, Inc.
- Regulatory AUM
- $1.8B
- Discretionary
- $1.8B
- Clients
- 415
- Avg AUM / client
- $4.3M
- Accounts
- 1,619
- Employees
- 22
AUM over time
Annual snapshots from Form ADV filings · as of Mar 04, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 113 | $49.7M | 2.79% |
| High net worth individuals | 302 | $1.7B | 96.7% |
| Corporations and other businesses | Fewer than 5 clients | $9.1M | 0.51% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Day Pitney Profit Sharing And 401(k) Plan Day Pitney Llp | 2024 |
People (15)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Oneill, Stephen, James | Principal | Dec 1980 (46y) | 10% – 25% | |
| Joslin, James, Lippitt | Chairman | Mar 1991 (35y) | 10% – 25% | |
| Renee Kamyee Kwok | President, Ceo | CFP | Sep 2002 (24y) | 50% – 75% |
| Leann Nathan Sullivan | Sr. Vice President | CFP | May 2004 (22y) | 5% – 10% |
| Wyllie, Constance, Haehnel | Chief Compliance Officer | Feb 2015 (12y) | Less than 5% | |
| Brian Joseph Presti | Chief Investment Officer | CFA | Jun 2023 (3y) | Less than 5% |
| Frederick Maurice Pryor | Registered representative | Apr 1994 (32y) | ||
| Jane Taubner Barney | Registered representative | CFP | Jan 2008 (19y) | |
| Michael James Meehan | Registered representative | CFP Personal Financial Specialist | May 2020 (6y) | |
| Antonette Maria Grimm | Registered representative | CFP | Dec 2021 (5y) | |
| Scott Mitchell Burg | Registered representative | CFA | Jul 2023 (3y) | |
| Jenna Leigh Israni | Registered representative | Chartered Financial Consultant | Feb 2025 (1y) | |
| Victor Michael Sinopoli | Registered representative | CFP | Jan 2026 (1y) | |
| Jessica Glaze Grande | Registered representative | May 2026 (0y) | ||
| Kyle C Cote | Registered representative | CFP | May 2026 (0y) |
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 |
|---|---|---|---|---|
| Day Pitney Profit Sharing And 401(k) Plan | Day Pitney Llp | 650 | $376M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/04/2026 | 971 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
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $1.7B (97% 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 04, 2026.
View current Form ADV (SEC/IAPD) ↗