Transce3nd provides financial planning, portfolio management for individuals and small businesses, and selecting other managers. Financial planning was provided to 1–10 clients last fiscal year.
Transce3nd reports 1,620 clients. They include 1,380 individual clients, 201 high-net-worth individuals, and 24 pension and profit-sharing plans. Of its assets, 100.0% ($419M across 2,619 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $799M.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 85% | 57% |
| High-net-worth individuals | 12% | 40% |
| Investment companies | <1% | <1% |
| Pension and profit-sharing plans | 1% | 1% |
| Corporations and other businesses | <1% | 2% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 1,380 | $238M | 56.9% | $173K |
| High-net-worth individuals | 201 | $166M | 39.7% | $828K |
| Investment companies | 1 | $1.11M | 0.3% | $1.11M |
| Pension and profit-sharing plans | 24 | $5.32M | 1.3% | $222K |
| Corporations and other businesses | 14 | $7.66M | 1.8% | $547K |
| Total | 1,620 | $419M | 100% | $259K |
- Clients
- 1,380
- Regulatory AUM
- $238M
- AUM share
- 56.9%
- Avg. per client
- $173K
- Clients
- 201
- Regulatory AUM
- $166M
- AUM share
- 39.7%
- Avg. per client
- $828K
- Clients
- 1
- Regulatory AUM
- $1.11M
- AUM share
- 0.3%
- Avg. per client
- $1.11M
- Clients
- 24
- Regulatory AUM
- $5.32M
- AUM share
- 1.3%
- Avg. per client
- $222K
- Clients
- 14
- Regulatory AUM
- $7.66M
- AUM share
- 1.8%
- Avg. per client
- $547K
Total
- Clients
- 1,620
- Regulatory AUM
- $419M
- AUM share
- 100%
- Avg. per client
- $259K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Transce3nd charges up to 1.65% for its Investment Management Wrap Program. The brochure does not state whether the rate is annual. The fee is billed in arrears. The brochure also prices 3 other services, listed under fee details.
Fee details and sources
Other fees
- Consulting
- Limited-scope consulting fees are negotiated per project and billed as services are rendered.
- Retirement Plan Services
- Plan sponsor fees are asset-based from 0.50% to 1.00% a year, or fixed fees of $3,000 to $25,000 a year, set in the plan agreement.
- Standalone Financial Planning
- Stand-alone financial planning fees range from $500 to $10,000 and are negotiable; no added fee when planning comes with investment management.
Joseph Quartucci owns 75% or more of Transce3nd. The leadership team of Transce3nd includes President John Mattingly and Chief Compliance Officer Bruce Wheadon. It has 60 employees, 42 of them in advisory roles.
Staff
- 60 employees
- 42 in advisory functions
- 42 state-registered reps
- 37 broker-dealer reps
- 39 insurance agents
- Owns 75% or more of Transce3nd LLC
Joseph Quartucci
Control person · since December 2021
Transce3nd’s regulatory assets grew 2.3× from $184M (July 2023) to $419M (May 2026); clients rose from 1,151 to 1,620 and employees from 31 to 60.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| May 2026May 2026 | $419M | 1,620 | 60 | 17 |
| Jun 2025June 2025 | $362M | 2,517 | 41 | 17 |
| Jul 2024July 2024 | $313M | 2,001 | 31 | 13 |
| Jul 2023July 2023 | $184M | 1,151 | 31 | 6 |
Besides its headquarters, Transce3nd has 16 offices (4 private residences, listed without an address), with 13 listed addresses across 6 states.
Missouri · 4 listed addresses
- 1410 Triad Center Drive, St. Peters
- 6311 Hazelwest CT., Hazelwood
- 1441 Triad Center DR, St. Peters
- 906 S Kirkwood Road, Kirkwood
Texas · 4 listed addresses
- 835 Main Street, Building 200, BudaHQ
- 1106 Pecan Street, Bastrop
- 985 I-10 North, Beaumont
- 17330 Preston RD Suite 200d, Dallas
Arizona · 2 listed addresses
- 17207 N Perimeter Drive Suite 120, Scottsdale
- 16220 N Scottsdale Road, Scottsdale
Colorado · 1 listed address
- 5390 N Academy BLVD, Colorado Springs
Florida · 1 listed address
- 56 SW Albany Avenue, Stuart
Georgia · 1 listed address
- 410 Peachtree Pkwy, BLDG 400, Cumming
Other business names
Transce3nd has reported 11 other business names to the SEC.
- Advanced Planning Solutions, LLC
- Alexander Financial Management, LLC
- Breakline Wealth + Tax, LLC
- E3 Consultants Group
- E3 Wealth
- Fine Future Financial
- Greenway Financial Group
- Summit Tax and Wealth Advisory, LLC
- Surefire Financial, Inc.
- The Ricks Group
- Wealth Strategies Advisory Group, LLC
Contact and registration details
- Legal name
- Transce3nd LLC
- Headquarters
- 835 Main Street, Building 200, Buda, TX 78610
- Website
- transcendim.com
- Phone
- 512-268-9220
- SEC file
- 801-126674
- Structure
- Texas LLC
- Fiscal year end
- December
Transce3nd’s named custodians for separately managed accounts are Charles Schwab ($343M, 82%), Fidelity ($56.6M, 14%) and Axos Clearing ($19.4M, 5%). Transce3nd does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · El Paso, TX · $343M82%
- Axos ClearingAxos Clearing LLC · Omaha, NE · $19.4M5%
- FidelityFidelity Brokerage Services LLC · Smithfield, RI · $56.6M14%
At year end, Transce3nd’s separately managed accounts were mostly in funds (71%) and stocks (20%). Its reported 13F holdings for the quarter ended 30 June 2026 total $11.3M across 170 positions; the largest are State Street SPDR S&P 500 ETF Trust (18.0%), State Street SPDR Portfolio S&P 500 ETF (8.0%) and Vanguard Federal Money Mkt Fund Investor Class (govt) (5.5%).
What the accounts hold
- Stocks20%
- Funds71%
- Registered funds68%
- Pooled vehicles3%
- Bonds2%
- Cash7%
How many clients does Transce3nd have?
Transce3nd has 1,620 clients and manages $419 million for them, as of May 2026. They include 1,380 individual clients, 201 high-net-worth individuals, and 24 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 5 May 2026
What services does Transce3nd offer?
Transce3nd provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Transce3nd charge?
Transce3nd charges up to 1.65% for its Investment Management Wrap Program. The brochure does not state whether the rate is annual. The fee is billed in arrears.
Which custodians does Transce3nd use?
Transce3nd’s separately managed account assets are held at Charles Schwab & Co., Inc. (El Paso, TX), with $343M, Fidelity Brokerage Services LLC (Smithfield, RI), with $56.6M and Axos Clearing LLC (Omaha, NE), with $19.4M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 May 2026
How many financial advisors does Transce3nd have?
Transce3nd has 42 investment adviser representatives registered with state securities authorities, out of 60 employees, and 42 perform investment advisory functions. 37 employees are registered representatives of a broker-dealer and 39 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
What does Transce3nd invest in?
At the end of its last fiscal year, Transce3nd’s separately managed accounts held 68% registered funds (mutual funds, ETFs, BDCs), 20% exchange-traded equities, 7% cash and equivalents, 3% pooled vehicles (private funds and similar) and 2% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Transce3nd?
Transce3nd’s direct owner is Joseph Quartucci (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 5 May 2026
How does Transce3nd get paid?
Transce3nd is paid through a percentage of assets under management and fixed fees. 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
How do I contact Transce3nd?
Transce3nd’s main office is at 835 Main Street, Building 200, Buda, TX 78610. Its phone number is 512-268-9220. Its website is transcendim.com.
