Traphagen Financial Group
Registered investment adviser · Oradell, NJ · CRD #107764
Form ADV data as of 2026-09-01Regulatory assets
$2.28 billion
Total accounts
2,038
Employees
18
Disclosure events
1
Firm details
- Website: https://www.instagram.com/traphagen_financial
- Telephone: 201-262-1040
- SEC file number: 801-56130
- Most recent Form ADV filing: 2026-03-02
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 1 disclosure question answered Yes, covering 1 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.
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $2.17 billion |
| Non-discretionary regulatory assets under management | $105.7 million |
| Total regulatory assets under management | $2.28 billion |
| Discretionary accounts | 1,989 |
| Non-discretionary accounts | 49 |
| Total accounts | 2,038 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 18 |
| Employees performing investment advisory functions (including research) | 16 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 16 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| 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 |
How the firm is compensated
Advisory services offered
Other business activities
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
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 1,361 | $254.1 million |
| High net worth individuals | 561 | $1.82 billion |
| Pension and profit sharing plans (not the participants or government plans) | 110 | $198.4 million |
| Charitable organizations | 6 | $4.5 million |