Tt Capital Management Llc
- Regulatory AUM
- $190M
- Discretionary
- $190M
- Clients
- 296
- Avg AUM / client
- $641K
- Accounts
- 939
- Employees
- 6
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Aug 03, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 266 | $55.0M | 29.0% |
| High net worth individuals | 30 | $57.2M | 30.1% |
| Other investment advisers | Fewer than 5 clients | $77.3M | 40.7% |
| Corporations and other businesses | Fewer than 5 clients | $330K | 0.17% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Timothy P Travis | Chief Compliance Officer/Ceo/Cio//Managing Member | Jun 2011 (15y) | 75% or more | |
| Peter Bradley Travis | Chief Operating Officer | Sep 2011 (15y) | Less than 5% | |
| Joel Thomas Kelner | Registered representative | Nov 2013 (13y) | ||
| Scott Allen Altenburg | Registered representative | Mar 2017 (9y) | ||
| Mitchell Fee | Registered representative | Mar 2017 (9y) |
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/23/2026 | 1.19 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: FROM IN OR ABOUT MARCH 2022 UNTIL FEBRUARY 2023, T&T CAPITAL MANAGEMENT TRANSACTED BUSINESS IN PENNSYLVANIA AS AN INVESTMENT ADVISOR WHILE NEITHER REGISTERED NOR EXEMPT FROM REGISTRATION. T&T CAPITAL MANAGEMENT EMPLOYED AT LEAST ONE UNREGISTERED INVESTMENT ADVISOR IN VIOLATION OF SECTION 301(C) OF THE 1972 ACT, 70 P.S. 1-301(C). Status: Final Sanction Detail: T&T CAPITAL MANAGEMENT WILL PAY AN ADMINISTRATIVE ASSESSMENT IN THE AMOUNT OF $30,000 TO THE DEPARTMENT OF BANKING AND SECURITIES (PA) PER THE PAYMENT SCHEDULE AGREED UPON. T&T CAPITAL MANAGEMENT IS ORDERED TO COMPLY WITH THE 1972 ACT, AND REGULATIONS ADOPTED BY THE DEPARTMENT, AND IN PARTICULAR SECTION 301(C) OF THE 1972 ACT, 70 P.S. 1-301(C). Summary: ON MAY 16, 2023, THE COMMONWEALTH OF PENNSYLVANIA DEPARTMENT OF BANKING AND SECURITIES, BUREAU OF SECURITIES COMPLIANCE EXAMINATIONS ENTERED A CONSENT ORDER FINDING THAT T&T CAPITAL MANAGEMENT ("TTCM") OPERATED IN VIOLATION OF THE PENNSYLVANIA SECURITIES ACT OF 1972, 70 P.S. 1-101 ET SEQ. ("1972 ACT"). FROM IN OR ABOUT MARCH 2022 UNTIL FEBRUARY 2023, T&T CAPITAL MANAGEMENT TRANSACTED BUSINESS IN PENNSYLVANIA AS AN INVESTMENT ADVISOR WHILE NEITHER REGISTERED NOR EXEMPT FROM REGISTRATION. T&T CAPITAL MANAGEMENT EMPLOYED AT LEAST ONE UNREGISTERED INVESTMENT ADVISOR IN VIOLATION OF SECTION 301(C) OF THE 1972 ACT, 70 P.S. 1-301(C). TTCM AGREED TO COMPLY WITH THE 1972 ACT, AND REGULATIONS ADOPTED BY THE DEPARTMENT, AND IN PARTICULAR SECTION 301(C) OF THE 1972 ACT, 70 P.S. 1-301(C) AND PAY AN ADMINISTRATIVE ASSESSMENT IN THE AMOUNT OF $30,000
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Other fees
- • OTHER INVESTMENT ADVISER FOR SUB-ADVISORY SERVICES
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Publication of periodicals or newsletters
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $187M (98% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Aug 03, 2026.
View current Form ADV (SEC/IAPD) ↗