Transce3 Nd Llc
SEC-registered
Wealth Manager · Small ($100M–$1B)
CRD 317745
· SEC file 801-126674
· Buda, TX
· transcendim.com
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ADV data as of May 05, 2026
- Regulatory AUM
- $419M
- Discretionary
- $419M
- Clients
- 1,620
- Avg AUM / client
- $259K
- Accounts
- 2,619
- Employees
- 60
AUM over time
$106M
$419M
Sep 2022
May 2026
Annual snapshots from Form ADV filings · as of May 05, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,380 | $238M | 56.9% |
| High net worth individuals | 201 | $166M | 39.7% |
| Investment companies | 1 | $1.1M | 0.26% |
| Pension and profit sharing plans | 24 | $5.3M | 1.27% |
| Corporations and other businesses | 14 | $7.7M | 1.83% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Midwest Regional Bancorp, Inc. 401(k) Plan Midwest Regional Bancorp Inc | 2024 |
People (45)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Joseph Allen Quartucci | Chief Executive Officer, Member | Chartered Financial Consultant | Dec 2021 (5y) | 50% – 75% |
| John Edward Moriarty | Member | Chartered Financial Consultant | Aug 2022 (4y) | 25% – 50% |
| Wilkerson, Diana, L | Chief Operating Officer | Sep 2022 (4y) | Less than 5% | |
| Mattingly, John, Tyler | President | Mar 2024 (2y) | Less than 5% | |
| Wheadon, Bruce, Alan | Chief Compliance Officer | May 2024 (2y) | Less than 5% | |
| Clellan Vance Hyatt | Registered representative | Jul 2022 (4y) | ||
| Mark Douglas Caldwell | Registered representative | CFP | Jul 2022 (4y) | |
| Jennifer Kristie Taylor | Registered representative | Jul 2022 (4y) | ||
| Joshua Mark Huard | Registered representative | Jul 2022 (4y) | ||
| Kyle Jason Robarge | Registered representative | Jul 2022 (4y) | ||
| Arpit Sharma | Registered representative | Oct 2022 (4y) | ||
| William Joseph Alexander | Registered representative | Oct 2022 (4y) | ||
| Bruce Gerard Wehner | Registered representative | Oct 2022 (4y) | ||
| Conner Capps | Registered representative | Oct 2022 (4y) | ||
| Mark Charles Schreiber | Registered representative | Oct 2022 (4y) | ||
| Stephen C Joseph | Registered representative | Oct 2022 (4y) | ||
| Kyle Wilcutt | Registered representative | Oct 2022 (4y) | ||
| Robert Francis Schilly | Registered representative | Oct 2022 (4y) | ||
| Jessica Michelle Knutson | Registered representative | Oct 2022 (4y) | ||
| Larry Kenneth Lyons | Registered representative | Chartered Financial Consultant | Nov 2022 (4y) | |
| Donald Gene Durr | Registered representative | May 2023 (3y) | ||
| Steven Andrew Shorley | Registered representative | May 2023 (3y) | ||
| Keith Bernard Stinebaker | Registered representative | May 2023 (3y) | ||
| Robert Lloyd Annable | Registered representative | Jul 2023 (3y) | ||
| Vincent Keith Annable | Registered representative | Jul 2023 (3y) | ||
| Chad Benoit | Registered representative | Sep 2023 (3y) | ||
| Amy Joslin | Registered representative | Sep 2023 (3y) | ||
| John Matthew Linn | Registered representative | Oct 2023 (3y) | ||
| Sebastiano Vassallo | Registered representative | Oct 2023 (3y) | ||
| Daniel Joseph Roemerman | Registered representative | Jan 2024 (3y) | ||
| Micah Anthony Medellin | Registered representative | May 2024 (2y) | ||
| Daniel R Ricks | Registered representative | Personal Financial Specialist | Oct 2024 (2y) | |
| Corwin Eugene Davidson | Registered representative | Dec 2024 (2y) | ||
| John Paul Miller | Registered representative | Apr 2025 (1y) | ||
| Cody Michael Surma | Registered representative | Jun 2025 (1y) | ||
| Tobin Allen Narciso Short | Registered representative | Jul 2025 (1y) | ||
| Steven J Perrmann | Registered representative | Aug 2025 (1y) | ||
| Troy Ray Thompson | Registered representative | Sep 2025 (1y) | ||
| Bryson Blackwell | Registered representative | Sep 2025 (1y) | ||
| Cole Stanton Pickett | Registered representative | Sep 2025 (1y) | ||
| Terence Herbert Taylor | Registered representative | Nov 2025 (1y) | ||
| Joel Everett | Registered representative | Feb 2026 (0y) | ||
| Ashley Marie Kempenski | Registered representative | Feb 2026 (0y) | ||
| Ryan Lane Vaughn | Registered representative | Mar 2026 (0y) | ||
| Nikki Kay Polistina | Registered representative | CFP | Apr 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 |
|---|---|---|---|---|
| Midwest Regional Bancorp, Inc. 401(k) Plan | Midwest Regional Bancorp Inc | 123 | $8.8M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/05/2026 | 1.03 MB | 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $343M (82% of AUM) May 2026
- Fidelity Brokerage Services $56.6M (14% of AUM) May 2026
- Axos Clearing $19.4M (5% of AUM) May 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: May 05, 2026.
View current Form ADV (SEC/IAPD) ↗