Thomas R. Koch

HALL CAPITAL

PASADENA, CA 91101

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CRD#: 2155898

Professional summary

Thomas Richard Koch is a registered financial advisor currently at HALL CAPITAL, LLC located in Pasadena, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Thomas has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Managing member of Trancoso Capital Management LLC, the general partner and investment advisor to Trancoso Partners LP. Trancoso Capital Management LLC is an exempt CA registered advisor.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Richard Koch's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 12, 2024 - Present

HALL CAPITAL, LLC

Office #1: 199 S. Los Robles Suite 535, Pasadena, CA 91101

RIA

CRD#: 153961

PASADENA, CA

Past

July 31, 2009 - April 30, 2012

TEJAS SECURITIES GROUP, INC.

CRD#: 36705

LOS ANGELES, CA

Past

October 9, 2001 - January 27, 2010

TURNAROUND CAPITAL MANAGEMENT, LLC

RIA

CRD#: 115407

LOS ANGELES, CA

Past

January 4, 1999 - April 10, 2001

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

January 1, 1998 - January 4, 1999

LIBRA INVESTMENTS, INC.

CRD#: 25519

Past

February 21, 1996 - January 6, 1997

M. J. WHITMAN, INC.

CRD#: 27870

NEW YORK, NY

Past

July 8, 1991 - June 20, 1996

LIBRA INVESTMENTS, INC.

CRD#: 25519

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HALL CAPITAL, LLC

CRD#: 153961 / SEC#: 801-130210

RIA

Registered Investment Advisory firm - (5/7/2024 Approved)

California

Registered Investment Advisory firm - (6/22/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(11/12/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/12/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/7/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/29/2009

General Securities Representative Examination

Current Firm

HALL CAPITAL, LLC

CRD#: 153961 / SEC#: 801-130210

RIA

Registered Investment Advisory firm - (5/7/2024 Approved)

California

Registered Investment Advisory firm - (6/22/2024 Terminated)

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Contact information

Main Address

199 S. Los Robles Suite 535, Pasadena, CA 91101

Mailing Address

Phone number

(626) 578-5700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HC - ADV PART 2A: FIRM BROCHURE (2/10/2025)

Regulatory assets under management

Total Number of Accounts	130
AUM (Assets Under Management)	$ 164,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Thomas R. Koch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Richard Koch's CRS (Customer Relationship Summary).

Certified licenses

Experience

TEJAS SECURITIES GROUP, INC.

TURNAROUND CAPITAL MANAGEMENT, LLC

U.S. BANCORP INVESTMENTS, INC.

LIBRA INVESTMENTS, INC.

M. J. WHITMAN, INC.

LIBRA INVESTMENTS, INC.

Primary Firm SEC Registration

HALL CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/12/2024

Series 63

Date: 12/7/2009

Series 7

Date: 7/29/2009

Current Firm

HALL CAPITAL, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HALL CAPITAL, LLC

TRUST BUT VERIFY

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