TP
Travis J. Penfield
49 FINANCIAL
AUSTIN, TX 78746
Some features on this profile are disabled
CRD#: 6104530
TP
Professional summary
Travis Jordan Penfield, who also goes by Travis Penfield, is a registered financial advisor currently at 49 FINANCIAL located in Austin, Texas and ALONGSIDE, LLC located in Austin, Texas.
Travis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Travis has worked at 7 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Travis Penfield
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.
1) 49 Wealth Management, LLC; Investment-related: yes; 3711 S MoPac Expy, Ste 105, Austin, TX 78735; an SEC RIA firm; Investment Adviser Representative; Financial Advisor servicing individual and small business clients since 01/2023; Approximately 90% of their time is for services as an investment advisor representative during business hours. 2) 49 Financial through Financial Independence Group; Non-Investment Related; 3711 S MoPac Expy, Ste 105, Austin, TX 78735; Fixed Insurance Sales Agent since 10/2019; approximately 16 hours per month during business hours. 3) CG Victory - Not Investment-related, 9185 Research Blvd, Austin TX 78758, Non-profit Kid's Camp, Board Member, 10/2022, 1 hour/0 trading hours per month, Vote on initiatives for programs and provide feedback for expanding impact on campers and counselors._ 4) Investor; Nook CUSO, Inc.; Is the business investment related: Yes; Location of the business: 603 Lake Street East, Ste. 206 Wayzata MN 55391 US; Description of the business: Nook was built to empower credit unions to execute niche banking strategies without the need for their own independent resources and expertise.; Responsibilities Duties: None. ; Start date with business: 2024-01-29; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 0; 5) Oakwood Capital Securities; investment related;3711 S MoPac Expy, Ste 105, Austin, TX 78735; Description of the business: Variable product sales as a part of a client's full financial plan; Registered Representative; Variable product sales as part of a client's full financial plan; Start date: 2024-01-11; 20 Hours per month all during trading hours. 6) 25 Giving; CEO; Non-investment related; 3711 S. Mopac Expressway, Ste 150, Austin, TX 78749; since 12/18/2024; Charitable planning company. Help people structure their charitable giving, partner with nonprofits to help them maximize their donors' charitable giving; Approx. 5 hours per month after business hours. 7) Acts of Athletes; Board Member; Non-investment related; 2209 Betty Lou Lane Austin, TX 78754; since 2/17/2025; This company represents athletes for NIL contracts. Will not be engaging with any of the athletes that are clients of the company; 1 hour per month during and after business hours 8) Alongside, LLC; Owner; Investment related; 3711 S Mopac Expy Bldg 1-150 Austin, TX, 78746; since 3/25/2025; Beneficial owner of Alongside, LLC. an SEC registered Investment Advisor; 10 hours per month during and after business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Travis Jordan Penfield's 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®
NoneExperience
Current
January 4, 2023 - Present
49 FINANCIAL
Office #1: 3711 S Mopac Expy Suite 150, Austin, TX 78746RIA
CRD#: 319484
AUSTIN, TX
Current
May 30, 2025 - Present
ALONGSIDE, LLC
Office #1: 3711 S Mopac Expy Suite 150, Austin, TX 78746RIA
CRD#: 333587
AUSTIN, TX
Current
January 11, 2024 - Present
OAKWOOD CAPITAL SECURITIES, INC.
Office #1: 3711 S Mopac Expressway Suite 150, Austin, TX 78746BD
CRD#: 21000
Austin, TX
Past
June 30, 2020 - December 31, 2022
THRIVENT ADVISOR NETWORK, LLC
RIA
CRD#: 304569
Austin, TX
Past
January 2, 2020 - July 2, 2020
PKS ADVISORY SERVICES, LLC
RIA
CRD#: 125648
ALBANY, NY
Past
November 22, 2019 - November 24, 2019
PKS ADVISORY SERVICES, LLC
RIA
CRD#: 125648
ALBANY, NY
Past
October 23, 2019 - January 17, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Austin, TX
Past
November 16, 2012 - November 15, 2019
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
AUSTIN, TX
Past
September 11, 2012 - November 15, 2019
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
AUSTIN, TX
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".
49 FINANCIAL
49 FINANCIAL | GLADIATOR ADVISORS, LLC | 49 WEALTH MANAGEMENT, LLC
CRD#: 319484 / SEC#: 801-123687
RIA
Registered Investment Advisory firm - (9/8/2022 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/11/2024)
RR
Arkansas(1/29/2024)
RR
California(1/11/2024)
RR
Colorado(1/11/2024)
RR
Florida(1/11/2024)
RR
Georgia(1/11/2024)
RR
Illinois(1/11/2024)
RR
Indiana(1/11/2024)
RR
Massachusetts(1/11/2024)
RR
Minnesota(1/11/2024)
RR
Missouri(1/11/2024)
RR
Montana(11/4/2025)
RR
Nebraska(1/11/2024)
RR
New Jersey(1/11/2024)
RR
New York(1/11/2024)
RR
Oklahoma(1/11/2024)
RR
Oregon(1/11/2024)
RR
Pennsylvania(1/11/2024)
RR
Tennessee(10/28/2025)
IAR
Texas(1/4/2023)
RR
Texas(1/11/2024)
RR
Virginia(1/11/2024)
RR
Washington(1/11/2024)
RR
Wyoming(1/11/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
49 FINANCIAL
49 FINANCIAL | GLADIATOR ADVISORS, LLC | 49 WEALTH MANAGEMENT, LLC
CRD#: 319484 / SEC#: 801-123687
RIA
Registered Investment Advisory firm - (9/8/2022 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
3711 S Mopac Expy Suite 150, Austin, TX 78746
Mailing Address
Phone number
(214) 563-1190
Established
Firm type
Fiscal year end
# of Employees
167
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,989 |
| AUM (Assets Under Management) | $ 871,379,407 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/25/2025 |
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.
