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THIRD VIEW PRIVATE WEALTH

WESTPORT, CT · CRD 335591 · IAPD ↗ · thirdviewpw.com · 8607590650

$1.16BRegulatory AUM
6Advisory reps
11Employees
0Clients
1-10Planning clients
0Private funds
13States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
March 2026 — THIRD VIEW PRIVATE WEALTH notice-filed in NC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
63
March 2026 — THIRD VIEW PRIVATE WEALTH reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
55
December 2025 — THIRD VIEW PRIVATE WEALTH notice-filed in CA, CO, FL, MI, NH, NJ, PA, TX, VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
December 2025 — THIRD VIEW PRIVATE WEALTH now reports custody of client assets ($76.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
72
December 2025 — THIRD VIEW PRIVATE WEALTH grew from 4 to 6 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
95
June 2025 — THIRD VIEW PRIVATE WEALTH (WESTPORT, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 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.