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TC43 LLC

NEW YORK, NY · CRD 329373 · IAPD ↗ · (519) 904-2790

$290.1MRegulatory AUM
8Advisory reps
11Employees
0Clients
0Planning clients
1Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
February 2026 — TC43 LLC (NEW YORK, NY) left the SEC roster (was $290.1M RAUM, 8 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
48
September 2024 — TC43 LLC moved its main office from ROCKVILLE CENTRE, NY to NEW YORK, NY.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
70
September 2024 — TC43 LLC grew from 6 to 8 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
73
September 2024 — TC43 LLC reported RAUM up 368% ($66.7M -> $311.7M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
50
June 2024 — TC43 LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
June 2024 — TC43 LLC now reports custody of client assets ($21.5M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
June 2024 — TC43 LLC grew from 1 to 6 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
70
June 2024 — TC43 LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
June 2024 — TC43 LLC now reports 1 private fund(s) ($10.8M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
35
April 2024 — TC43 LLC moved its main office from PELHAM, NY to ROCKVILLE CENTRE, NY.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
85
February 2024 — TC43 LLC (PELHAM, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.