T&t Capital Management
Registered investment adviser · CRD #158407
Form ADV data as of 2026-09-01Regulatory assets
$189.8 million
Total accounts
939
Employees
6
Disclosure events
5
Firm details
- Website: https://www.facebook.com/ttcapitalmanagement/
- Telephone: 805-886-8140
- SEC file number: 801-129780
- Most recent Form ADV filing: 2026-08-03
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 4 disclosure questions answered Yes, covering 5 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- Another regulator found a violation of investment-related regulations or statutes
- Another regulator entered an order in connection with investment-related activity (past 10 years)
- A self-regulatory organization found a violation of its rules
- A self-regulatory organization expelled, suspended, barred, or restricted the firm
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $189.8 million |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $189.8 million |
| Discretionary accounts | 939 |
| Non-discretionary accounts | 0 |
| Total accounts | 939 |
| Regulatory assets under management attributable to non-U.S. persons | $2,800 |
People
| Total employees (excluding clerical) | 6 |
| Employees performing investment advisory functions (including research) | 4 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 5 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 3 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 2 |
How the firm is compensated
Advisory services offered
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends brokers or dealers to clients
- Compensates a non-employee for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 266 | $55.0 million |
| High net worth individuals | 30 | $57.2 million |
| Other investment advisers | Not reported | $77.3 million |
| Corporations or other businesses not listed above | Not reported | $330,034 |