Tri-Ad Capital Management, Inc
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Overview
Tri-Ad Capital Management, Inc is a financial advisor company headquartered in Escondido, California. Tri-Ad Capital Management, Inc has $448.9 million in assets throughout 52 client accounts, making it one of the larger investment advisory firms in the country by assets under management (AUM). Tri-Ad Capital Management, Inc has a small group, including 2 financial advisors. Tri-Ad Capital Management, Inc does not act as a registered broker-dealer, signifying that the company cannot buy and sell securities for its own accounts as well as its customers' and instead must go through a broker-dealer company to do so. Securities are tradable financial assets like options, equities and bonds.
Tri-Ad Capital Management, Inc manages two of the company's accounts on a discretionary basis. Discretionary management means that a portfolio manager makes transaction choices without needing the customer's approval. It also manages 50 non-discretionary accounts with a total of $443.2 million in assets under management. The firm's typical account size is $8.6 million. An average advisor at Tri-Ad Capital Management, Inc administers around 26 client accounts, placing it towards the middle in terms of personalization.
Tri-Ad Capital Management, Inc's main office is at 221 W Crest Street, Suite 300, Escondido, California 92025. The company is legally permitted to provide services to customers across a few states, including Arizona, California and Texas.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Tri-Ad Capital Management, Inc by the Numbers
$448.9 million
5
52
$8.6 million
Fee Structure
A financial advisor's fees typically vary depending on which services are offered. However, fee types charged by Tri-Ad Capital Management, Inc likely are comprised of the following fee types: asset-based or fixed. The firm does not supply a wrap fee program, in which the firm offers a bundle of services for a single fee.
Available
-
Offered by 69% of firms
Percentage of Assets
-
Offered by 32% of firms
Fixed
Unavailable
-
Find one of the 21% of firms that offer this fee type
Hourly
-
Find one of the 1% of firms that offer this fee type
Commissions
-
Find one of the 26% of firms that offer this fee type
Performance-based
-
Find one of the 0% of firms that offer this fee type
Subscription
-
Find one of the 10% of firms that offer this fee type
Other
Types of Clients
The company provides services to retail investors and pension plans. Out of its 52 clients, Tri-Ad Capital Management, Inc's largest client is pension plans. None of its clients are non-U.S. persons.
- High-Net-Worth Individuals* - 0%
- Other Individuals - 11.76%
- Corporations - 88.24%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Tri-Ad Capital Management, Inc does not have any disclosures.
Please visit its Form ADV for more details.
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Financial Advisors at Tri-Ad Capital Management, Inc
Escondido, CA
Escondido, CA
Escondido, CA
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