Tri Star Advisors Inc.
- Regulatory AUM
- $67.9M
- Discretionary
- $67.9M
- Clients
- 73
- Avg AUM / client
- $930K
- Accounts
- 121
- Employees
- 4
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 26, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 48 | $10.7M | 15.8% |
| High net worth individuals | 25 | $45.0M | 66.2% |
| Insurance companies | Fewer than 5 clients | $12.2M | 18.0% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| William Thomas Payne | President | May 2009 (17y) | 50% – 75% | |
| Jon Carter Vaughan | Chief Executive Officer, Chief Compliance Officer | CFA | Sep 2009 (17y) | 50% – 75% |
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/26/2026 | 1.27 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: ENGAGING IN PRINCIPAL TRANSACTIONS WITHOUT OBTAINING PRIOR CUSTOMER CONSENT TO EACH TRANSACTION. Status: Final Sanction Detail: DISGORGEMENT/RESTITUTION ORDERED IN THE AMOUNT OF $375,000. Summary: TRI-STAR ADVISORS, INC. AND THE SECURITIES EXCHANGE COMMISSION SETTLED ADMINISTRATIVE PROCEEDING NO 3-15627 ON 8/6/2015. TRI-STAR ADVISORS INC. WILL COMPLY WITH THE ORDER.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $288M (81% of AUM) Mar 2022
- Hilltop $65.7M (97% of AUM) Feb 2026
- Betterment $6.1M (2% of AUM) Sep 2020
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: Feb 26, 2026.
View current Form ADV (SEC/IAPD) ↗