Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Tolleson Private Wealth Management
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
TOLLESON WEALTH MANAGEMENT, INC.Indirect owner · Schedule BInterest in TOLLESON PRIVATE WEALTH MANAGEMENT
75%+
DT 2020 SAVING TRUSTIndirect owner · Schedule BInterest in TOLLESON WEALTH MANAGEMENT, INC.
25% to < 50%
JT 2020 SECURE TRUSTIndirect owner · Schedule BInterest in TOLLESON WEALTH MANAGEMENT, INC.
25% to < 50%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Tolleson Private Wealth Management.
Reported ownership and control details
Form ADV · Filing date 2026-09-10 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | JOHN CARTER TOLLESONEXECUTIVE CHAIRMANIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | EXECUTIVE CHAIRMAN04/2000 | Schedule APDF page 122 |
| 2 | TOLLESON WEALTH MANGEMENT, INCHOLDING COMPANYDomestic entity | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | HOLDING COMPANY04/2002 | Schedule APDF page 122 |
| 3 | GREGORY SCOTT HALLSENIOR MANAGING DIRECTORIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | SENIOR MANAGING DIRECTOR04/2005 | Schedule APDF page 122 |
| 4 | MICHAEL R HELDMANAGING DIRECTORIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | MANAGING DIRECTOR03/2015 | Schedule APDF page 122 |
| 5 | JOHN CARTER TOLLESON JR.CHIEF EXECUTIVE OFFICERIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | CHIEF EXECUTIVE OFFICER03/2013 | Schedule APDF page 122 |
| 6 | Andrea Christine HulcyCHIEF FINANCIAL OFFICERIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | CHIEF FINANCIAL OFFICER01/2021 | Schedule APDF page 122 |
| 7 | JEFFREY KERR DUNNMANAGING DIRECTORIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | MANAGING DIRECTOR07/2022 | Schedule APDF page 122 |
| 8 | JOSHUA JAMES COURYSENIOR MANAGING DIRECTORIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | SENIOR MANAGING DIRECTOR07/2022 | Schedule APDF page 122 |
| 9 | Owen Andrew SmithCHIEF OPERATING OFFICER & CHIEF TECHNOLOGY OFFICERIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | CHIEF OPERATING OFFICER & CHIEF TECHNOLOGY OFFICER01/2025 | Schedule APDF page 122 |
| 10 | TIMOTHY MICHAEL STOBAUGHMANAGING DIRECTORIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | MANAGING DIRECTOR07/2024 | Schedule APDF page 122 |
| 11 | Aleta Antwanette StampleyMANAGING DIRECTORIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | MANAGING DIRECTOR05/2024 | Schedule APDF page 122 |
| 12 | COURTNEY PAIGE PREGLERCHIEF COMPLIANCE OFFICERIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER01/2025 | Schedule APDF page 122 |
| 13 | Peter C ChilianPRESIDENT, TOLLESON WEALTH MANAGEMENT & CHIEF INVESTMENT OFFICERIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | PRESIDENT, TOLLESON WEALTH MANAGEMENT & CHIEF INVESTMENT OFFICER02/2025 | Schedule APDF page 122 |
| 14 | PETER ROBERTS BALDWINMANAGING DIRECTORIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | MANAGING DIRECTOR01/2025 | Schedule APDF page 122 |
| 15 | MICHAEL REIGLE WAGNERCHIEF STRATEGIST & MANAGING DIRECTOR OF FIXED INCOMEIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | CHIEF STRATEGIST & MANAGING DIRECTOR OF FIXED INCOME05/2025 | Schedule APDF page 122 |
| 16 | TOLLESON PRIVATE WEALTH MANAGEMENTLIMITED LIABILITY COMPANYDomestic entity | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | No | LIMITED LIABILITY COMPANY01/2026 | Schedule APDF page 122 |
| 17 | Shiv Shrikant PatelMANAGING DIRECTORIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | MANAGING DIRECTOR01/2026 | Schedule APDF page 122 |
| 18 | Hugh Charles SeligmanMANAGING DIRECTORIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | MANAGING DIRECTOR01/2026 | Schedule APDF page 122 |
| 19 | BRENT A YOUNGMANAGING DIRECTORIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | MANAGING DIRECTOR01/2026 | Schedule APDF page 122 |
| 20 | Carmine John Camerato IIMANAGING DIRECTORIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | MANAGING DIRECTOR01/2026 | Schedule APDF page 122 |
| 21 | Lori Carol LindleyMANAGING DIRECTORIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | MANAGING DIRECTOR07/2026 | Schedule APDF page 122 |
| 22 | Eric Byrne FerneliusMANAGING DIRECTORIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | MANAGING DIRECTOR07/2026 | Schedule APDF page 122 |
| 23 | Elizabeth Jenny LeanMANAGING DIRECTORIndividual | TOLLESON PRIVATE WEALTH MANAGEMENT | Less than 5%Code NA | Yes | MANAGING DIRECTOR07/2026 | Schedule APDF page 122 |
| 24 | TOLLESON WEALTH MANAGEMENT, INC.SOLE SHAREHOLDERDomestic entity | TOLLESON PRIVATE WEALTH MANAGEMENT | 75% or moreCode E | Yes | SOLE SHAREHOLDER01/2026 | Schedule BPDF page 123 |
| 25 | DT 2020 SAVING TRUSTSHAREHOLDERDomestic entity | TOLLESON WEALTH MANAGEMENT, INC. | 25% to less than 50%Code C | Yes | SHAREHOLDER12/2021 | Schedule BPDF page 123 |
| 26 | JT 2020 SECURE TRUSTSHAREHOLDERDomestic entity | TOLLESON WEALTH MANAGEMENT, INC. | 25% to less than 50%Code C | Yes | SHAREHOLDER12/2021 | Schedule BPDF page 123 |
| 27 | JOHN CARTER TOLLESONTRUSTEEIndividual | JT 2020 SECURE TRUST | Percentage not specifiedCode F | Yes | TRUSTEE12/2021 | Schedule BPDF page 123 |
| 28 | JOHN CARTER TOLLESON JR.TRUSTEEIndividual | DT 2020 SAVING TRUST | Percentage not specifiedCode F | Yes | TRUSTEE12/2021 | Schedule BPDF page 123 |
| 29 | Debra June TollesonTRUSTEEIndividual | DT 2020 SAVING TRUST | Percentage not specifiedCode F | Yes | TRUSTEE12/2021 | Schedule BPDF page 123 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 9/10/2026 4:48:46 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.