T&T CAPITAL MANAGEMENT is an SEC-registered investment adviser (CRD 158407). Regulatory assets under management: $189.8M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Other.
Clients served: High net worth, Pooled vehicles, Corporations, Other.
| Name | Role | Location |
|---|---|---|
| Timothy P Travis | CHIEF COMPLIANCE OFFICER/CEO/CIO//MANAGING MEMBER | — |
| Peter Bradley Travis | CHIEF OPERATING OFFICER | — |
| TRAVIS TIMOTHY P | CHIEF COMPLIANCE OFFICER/CEO/CIO//MANAGING MEMBER | — |
| TRAVIS PETER BRADLEY | CHIEF OPERATING OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-01-11 | regulatory | 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 T… | Final | $30K |
| — | regulatory | — | — | — |