Troy C. Alley

THIRD GENERATION CAPITAL MANAGEMENT

Dallas, TX 75206

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CRD#: 6438059

Professional summary

Troy Caesar Alley III, who also goes by Troy Caesar Alley, is a registered financial advisor currently at THIRD GENERATION CAPITAL MANAGEMENT located in Dallas, Texas and ARK WEALTH MANAGEMENT located in Austin, Texas.

Troy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Troy has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Troy Caesar Alley

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) Third Generation Capital Management, LLC;Dallas, TX;Yes;Investment Consulting & Research;President/CEO;06/2017; 0; 0; I still serve as the President & CEO of the firm; however it is not currently operational and we don't service any clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Troy Caesar Alley III'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

May 29, 2019 - Present

THIRD GENERATION CAPITAL MANAGEMENT

Office #1: 8150 N. Central Expressway Suite M1130, Dallas, TX 75206

RIA

CRD#: 300367

Dallas, TX

Current

March 13, 2025 - Present

ARK WEALTH MANAGEMENT

Office #1: 10800 Pecan Park Blvd Ste 100, Austin, TX 78750

RIA

CRD#: 317264

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".

ARK WEALTH MANAGEMENT

ARK FINANCIAL | ARK WEALTH MANAGEMENT, LLC | ARK WEALTH MANAGEMENT

CRD#: 317264 / SEC#: 801-123029

RIA

Registered Investment Advisory firm - (1/10/2022 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.

Highlighted states indicate IAR registrations

IAR

Texas
(5/29/2019)

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: 11/11/2017

Uniform Investment Adviser Law Examination

Current Firm

ARK WEALTH MANAGEMENT

ARK FINANCIAL | ARK WEALTH MANAGEMENT, LLC | ARK WEALTH MANAGEMENT

CRD#: 317264 / SEC#: 801-123029

RIA

Registered Investment Advisory firm - (1/10/2022 Approved)

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Contact information

Main Address

10800 Pecan Park Blvd Ste 100, Austin, TX 78750

Mailing Address

Phone number

(512) 660-5703

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	539
AUM (Assets Under Management)	$ 191,000,000

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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Troy C. Alley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Troy Caesar Alley III's CRS (Customer Relationship Summary).

Certified licenses

Experience

THIRD GENERATION CAPITAL MANAGEMENT

ARK WEALTH MANAGEMENT

Primary Firm SEC Registration

ARK WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 11/11/2017

Current Firm

ARK WEALTH MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARK WEALTH MANAGEMENT

TRUST BUT VERIFY

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