← Directory
VON HAEFEN FINANCIAL MANAGEMENT
Legal name: VON HAEFEN, TROY ALLEN
CRD 130564File 801-137609
APPROVED
Retail clients
Filing as of Sep 28, 2026
Feed vintage Oct 29, 2026
Regulatory AUM
$127.6M
Bottom 25% of cohort (national)
Discretionary AUM
$0
Non-discretionary $127.6M
Clients
88
327 accounts
Employees
2
Identity & registration
ADV Item 1- Organization form
- Sole Proprietorship
- Firm type
- Registered
- SEC region
- ARO
- Registration date
- Oct 28, 2026
- Principal office
- Not reported
- Phone
- 615-353-9646
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $127.6M
- Discretionary AUM
- $0
- Non-discretionary AUM
- $127.6M
- Discretionary accounts
- 0
- Non-discretionary accounts
- 327
- Total accounts
- 327
- AUM per client
- $1.5M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 46 | $107.1M |
| Individuals (other than high net worth individuals) | 42 | $20.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
Advisory activities
- Other advisory activities
- Financial planning services
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Fees as stated in brochure
ADV Part 2A Item 5Loading brochure…
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Oct 29, 2026 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “VON HAEFEN” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“VON HAEFEN” may also match similarly-named firms). Confirm identity against each filing.
Loading 13F filings…
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.