{"url":"https://nivawealth.com/firms/tkc-wealth-management-158498","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/158498","regulatoryAum":138585943,"crd":"158498","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7903965","suffix":null,"lastName":"Chen (Michael)","firstName":"Yen-Chun","middleName":null},{"crd":"2394916","suffix":null,"lastName":"CHEN","firstName":"TING","middleName":"KUO"},{"crd":"6366204","suffix":null,"lastName":"REINHARD","firstName":"TYLER","middleName":"JOHN"},{"crd":"3047441","suffix":null,"lastName":"TING","firstName":"ANDERS","middleName":"PIJEN"},{"crd":"6687951","suffix":null,"lastName":"TSAI","firstName":"WANG CHANG","middleName":null}],"total":5,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-07-09","regulatoryAum":121759655,"clients":147,"employees":6,"offices":1},{"filedOn":"2026-03-23","regulatoryAum":138585943,"clients":284,"employees":6,"offices":1}],"secFileNumber":"801-133951","legalName":"TKC Wealth Management LLC","displayName":"TKC Wealth Management","slug":"tkc-wealth-management-158498","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Texas limited liability company","fiscalYearEnd":"December","headquarters":{"street":"12900 Preston Road, Suite 700","city":"Dallas","state":"TX","stateName":"Texas","country":"United States","postalCode":"75230"},"tradeNames":[],"registration":{"secApproved":"25 July 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":305658.4401544402,"staff":{"employees":6,"advisory":6,"brokerDealerReps":6,"insuranceAgents":4,"promoters":0},"aum":{"regulatory":138585943,"discretionary":127135465,"discretionaryAccounts":283,"nonDiscretionary":11450478,"nonDiscretionaryAccounts":1,"wrapProgram":null,"nonUsClientsPct":11,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":66,"regulatoryAum":7876326},{"label":"High-net-worth individuals","clients":193,"regulatoryAum":71289210},{"label":"Pension and profit-sharing plans","clients":2,"fewerThan5":true,"regulatoryAum":14186777},{"label":"Corporations and other businesses","clients":23,"regulatoryAum":45233630}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:23:00.158119+00:00","documents":[{"name":"ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023402","versionId":1023402,"submittedOn":"2026-03-23"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":99553807},{"name":"Interactive Brokers LLC","shortName":"Interactive Brokers","location":"Greenwich, CT","smaAssets":21053287},{"name":"Capital Client Group, Inc.","shortName":"Capital Client Group","location":"Los Angeles, CA","smaAssets":17491371}],"custodyNote":"TKC Wealth Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Ting Chen","title":"President","crd":"2394916"},{"name":"Tyler John Reinhard","title":"Chief Compliance Officer","crd":"6366204"}],"ownership":[{"label":"TK Chen Internatonal Advisors LTD","detail":"Direct owner in the 75% or more ownership band and a control person, since March 2015."},{"label":"Ting Chen","detail":"Indirect owner: member, shareholder, trustee of Ting Kuo Chen Children'S Dynasty Trust and a control person, since February 2015.","parent":"Ting Kuo Chen Children'S Dynasty Trust"},{"label":"TK Chen Management LLC","detail":"Indirect owner: general partner of TK Chen International Advisors LTD. and a control person, since March 2015.","parent":"TK Chen International Advisors LTD."},{"label":"Ting Kuo Chen Children'S Dynasty Trust","detail":"Indirect owner: a limited partner of T K Chen International Advisors LTD. in the 25% to 50% band, since February 2015.","parent":"T K Chen International Advisors LTD."},{"label":"Tina Hou","detail":"Indirect owner: trustee of Ting Kuo Chen Children'S Dynasty Trust and a control person, since February 2015.","parent":"Ting Kuo Chen Children'S Dynasty Trust"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"12900 Preston Road, Suite 700","city":"Dallas","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"214-389-2000","stateRegisteredReps":6,"otherAdviserReps":1,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":69},{"label":"Securities issued by registered investment companies or business development companies","percent":26},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"23 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/158498/PDF/158498.pdf","brochureDate":"23 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023402","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does TKC Wealth Management have?","answer":"TKC Wealth Management has 284 clients and manages $139 million for them, as of March 2026. They include 193 high-net-worth individuals, 66 individual clients, and 23 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does TKC Wealth Management offer?","answer":"TKC Wealth Management provides portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does TKC Wealth Management use?","answer":"TKC Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $99.6M, Interactive Brokers LLC (Greenwich, CT), with $21.1M and Capital Client Group, Inc. (Los Angeles, CA), with $17.5M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does TKC Wealth Management have?","answer":"TKC Wealth Management has 6 investment adviser representatives registered with state securities authorities, out of 6 employees, and 6 perform investment advisory functions. 6 employees are registered representatives of a broker-dealer and 4 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does TKC Wealth Management invest in?","answer":"At the end of its last fiscal year, TKC Wealth Management’s separately managed accounts held 69% exchange-traded equities, 26% registered funds (mutual funds, ETFs, BDCs) and 5% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns TKC Wealth Management?","answer":"TKC Wealth Management’s direct owners are TK Chen Internatonal Advisors LTD (75% or more) and Ting Kuo Chen Children'S Dynasty Trust (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does TKC Wealth Management get paid?","answer":"TKC Wealth Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact TKC Wealth Management?","answer":"TKC Wealth Management’s main office is at 12900 Preston Road, Suite 700, Dallas, TX 75230. Its phone number is 214-389-2000.","source":"Form ADV Part 1A, Item 1.F, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}