TriState Wealth Advisors
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$7,118,893
Clients
65
Advisors
1
of 1 employees
About
Tri-State Wealth Advisors is a small, independent advisory firm led by a single advisor that provides portfolio management and financial planning to individuals, high‑net‑worth clients, and retirement plan sponsors, including pension and 401(k) plans. The firm also incorporates tax preparation into its planning services through an affiliated entity, JTK Advisors.
The firm creates a written Investment Policy Statement for each client, documents risk tolerance and time horizon, and provides discretionary portfolio management with a long‑term trading orientation that combines fundamental analysis, modern portfolio theory, and technical analysis. Tri‑State charges percentage‑of‑AUM fees for ongoing management and affirms a fiduciary standard for retirement account advice while seeking fair allocation of investment opportunities across clients.
What is distinctive about Tri‑State is its affiliation with a tax/preparation practice and its explicit pension consulting offering, both of which are uncommon among similar independent, solo‑advisor firms; the brochure discloses the affiliation, the firm’s practice of covering tax preparation fees for financial planning clients, and the option for clients to use other tax professionals. The firm also provides pension consulting deliverables (written plan documents, manager and service‑provider recommendations) and relies on a digital program and specified custodians (including Schwab, SEI, and Apex) for trading and back‑office support.
Client services
Expertise
Fee options
Financial planning fees range from $1,500 to $24,000; Pension consulting fixed fees: $3,000 for assets up to $500,000, $1,500 for assets $500,001 to $1,000,000
$0 - $750,000: 1.00% $750,001 - $2,000,000: 0.85% $2,000,001 - $5,000,000: 0.50% $5,000,001+: 0.40%
$350 to $500 per hour for financial planning services
Main office
263 E Main St, #B
Newark DE 19711
Advisors at this office
1
Most active in
Delaware · New York · Pennsylvania
Also doing business as
Tri State Wealth Advisors, LLC · Tristate Wealth Advisors
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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