# EDGAR Filing Document

**Accession Number:** 0001881014
**File Stem:** 0001881014-26-000003
**Filing Date:** 2026-1
**Character Count:** 15120
**Document Hash:** fa552a699324d2ea012affdf910d9228
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001881014-26-000003.hdr.sgml**: 20260122

**ACCESSION NUMBER**: 0001881014-26-000003

**CONFORMED SUBMISSION TYPE**: MA/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20260114

**DATE AS OF CHANGE**: 20260122

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** First Tryon Advisors, LLC
- **CENTRAL INDEX KEY:** 0001881014

**ORGANIZATION NAME:**
- **EIN:** 872164766
- **STATE OF INCORPORATION:** NC
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-02606
- **FILM NUMBER:** 26551470

**BUSINESS ADDRESS:**
- **STREET 1:** 6101 CARNEGIE BLVD.
- **STREET 2:** SUITE 210
- **CITY:** CHARLOTTE
- **STATE:** NC
- **ZIP:** 28209
- **BUSINESS PHONE:** 7049262445

**MAIL ADDRESS:**
- **STREET 1:** 6101 CARNEGIE BLVD.
- **STREET 2:** SUITE 210
- **CITY:** CHARLOTTE
- **STATE:** NC
- **ZIP:** 28209

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001881014

**Filer CCC:** XXXXXXXX

**Contact Name:** Ted Vogtman

**Contact Phone:** 973-618-9509

**Contact Email:** tvogtman@alternativereg.com

**Notification Emails:** kbrunnemeriii@firsttryon.com, tvogtman@alternativereg.com

### Type of Filing

**Selected Filing Type:** Amendment

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** First Tryon Advisors, LLC

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**B. Doing-Business-As (DBA) Name:** First Tryon Advisors

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** Yes

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 87-2164766

**D. Registrations:**

- **Municipal Advisor:** SEC File No: 867-02606

**E. Principal Office and Place of Business:** 6101 Carnegie Blvd, Suite 210, CHARLOTTE, NC, 28209

**Telephone Number:** 704-926-2441

**Additional Offices of Employment:**

- **Office #1 (Add):** 1 Park Place, Suite 485, ANNAPOLIS, MD, 21401 | Phone: 410-267-8811

- **Office #2 (Add):** 1320 Main Street, Suite 300, COLUMBIA, SC, 29201 | Phone: 803-413-4991

- **Office #3 (Amend):**  | Phone: 410-729-6045

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.firsttryon.com

**G. Chief Compliance Officer (CCO):**

**Name:** Heber Keith Brunnemer III

**Address:** 6101 Carnegie Blvd, Suite 210, Charlotte, NC, 28209

**Phone Number:** 704-926-2441

**Email:** kbrunnemeriii@firsttryon.com

**H. Business Affiliates:**

- **Name:** First Tryon Securities, LLC

  - **Issuing Agency:** SEC / FINRA

  - **Jurisdiction:** 

- **Name:** FTA Asset Management, LLC

  - **Issuing Agency:** SEC / FINRA

  - **Jurisdiction:** 

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Liability Company (LLC)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** NC

**D. Date of Organization:** 08-11-2021

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 25

**B. Municipal Advisory Activities - Employees:** 22

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 0

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 460

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations, Corporations or other businesses

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice ME Other Investments, Advice Guaranteed IC, Advice Use Of MD, Advice On Selection

### Item 5: Other Business Activities

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser

**Total Associated Persons:** 2

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** Yes

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** No

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** No

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** No

- **SEC/CFTC Imposed Civil Penalty?:** No

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** No

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** No

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** Yes

### Schedule A: Direct Owners and Executive Officers

| Name                      | Title/Status             | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Brunnemer & Company       | Member                   | 01-01-1999      | D - 50% but less than 75% | Yes               | 56-1154091   |  |
| FTA1, LLC                 | Member                   | 08-23-2021      | D - 50% but less than 75% | Yes               | 87-2164766   |  |
| Heber Keith Brunnemer III | Chief Compliance Officer | 01-09-2023      | NA - less than 5%         | Yes               |  | 2758256      |
| Tina Hudson Taylor        | Chief Financial Officer  | 06-01-2023      | NA - less than 5%         | Yes               |  | 7203745      |
| James Walter Goldsmith    | Chief Executive Officer  | 02-01-2025      | NA - less than 5%         | Yes               |  | 4079674      |

### Schedule B: Indirect Owners

| Owning Entity                                            | Name                                                   | Title/Status   | Date Acquired   | Ownership Code                                          | Control Person?   | IRS Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Brunnemer & Company                                      | Brunnemer Children's GST Investment Trust Dtd 12/20/01 | Shareholder    | 12-01-2001      | D - 50% but less than 75%                               | Yes               | 14-6223419   |
| Brunnemer & Company                                      | HKBIII GST Trust u/a/d September 5, 2018               | Shareholder    | 09-01-2018      | C - 25% but less than 50%                               | Yes               | 99-9999999   |
| FTA1, LLC                                                | James Walter Goldsmith                                 | Shareholder    | 08-23-2021      | E - 75% or more                                         | Yes               |  |
| Brunnemer Children's GST Investment Trust Dtd 12/20/01   | Heber Keith Brunnemer III                              | Trustee        | 12-20-2001      | F - Other (general partner, trustee, or elected member) | Yes               |  |
| Brunnemer Children's GST Investment Trust Dtd 12/20/2001 | Paul McDonald Hattenhauer                              | Trustee        | 12-20-2001      | F - Other (general partner, trustee, or elected member) | Yes               |  |
| HKBIII GST Trust u/a/d September 5, 2018                 | Heber Keith Brunnemer III                              | Trustee        | 09-05-2018      | F - Other (general partner, trustee, or elected member) | Yes               |  |
| HKBIII GST Trust u/a/d September 5, 2018                 | Paul McDonald Hattenhauer                              | Trustee        | 09-05-2018      | F - Other (general partner, trustee, or elected member) | Yes               |  |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity                                            | Name                                                   | Title/Status             | Date Acquired   | Ownership Code                                          | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | Brunnemer & Company                                    | Member                   | 01-01-1999      | D - 50% but less than 75%                               | Yes               | 56-1154091   |  |
|  | Direct      |  | FTA1, LLC                                              | Member                   | 08-23-2021      | D - 50% but less than 75%                               | Yes               | 87-2164766   |  |
|  | Indirect    | Brunnemer & Company                                      | Brunnemer Children's GST Investment Trust Dtd 12/20/01 | Shareholder              | 12-01-2001      | D - 50% but less than 75%                               | Yes               | 14-6223419   |  |
|  | Indirect    | Brunnemer & Company                                      | HKBIII GST Trust u/a/d September 5, 2018               | Shareholder              | 09-01-2018      | C - 25% but less than 50%                               | Yes               | 99-9999999   |  |
|  | Direct      |  | Heber Keith Brunnemer III                              | Chief Compliance Officer | 01-09-2023      | NA - less than 5%                                       | Yes               |  | 2758256      |
|  | Direct      |  | Tina Hudson Taylor                                     | Chief Financial Officer  | 06-01-2023      | NA - less than 5%                                       | Yes               |  | 7203745      |
|  | Direct      |  | James Walter Goldsmith                                 | Chief Executive Officer  | 02-01-2025      | NA - less than 5%                                       | Yes               |  | 4079674      |
|  | Indirect    | FTA1, LLC                                                | James Walter Goldsmith                                 | Shareholder              | 08-23-2021      | E - 75% or more                                         | Yes               |  | 4079674      |
|  | Indirect    | Brunnemer Children's GST Investment Trust Dtd 12/20/01   | Heber Keith Brunnemer III                              | Trustee                  | 12-20-2001      | F - Other (general partner, trustee, or elected member) | Yes               |  | 2758256      |
|  | Indirect    | Brunnemer Children's GST Investment Trust Dtd 12/20/2001 | Paul McDonald Hattenhauer                              | Trustee                  | 12-20-2001      | F - Other (general partner, trustee, or elected member) | Yes               |  | 7081864      |
|  | Indirect    | HKBIII GST Trust u/a/d September 5, 2018                 | Heber Keith Brunnemer III                              | Trustee                  | 09-05-2018      | F - Other (general partner, trustee, or elected member) | Yes               |  | 2758256      |
|  | Indirect    | HKBIII GST Trust u/a/d September 5, 2018                 | Paul McDonald Hattenhauer                              | Trustee                  | 09-05-2018      | F - Other (general partner, trustee, or elected member) | Yes               |  | 7081864      |

### Execution Page

**Signature:** H. Keith Brunnemer III

**Signer Name:** H. Keith Brunnemer III

**Title:** Chief Compliance Officer

**Date:** 01-14-2026

**CRD Number:** 2758256