Triad Investment Management, LLC

CRD#146786
Investment Advisor Firm

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Overview

Triad Investment Management, LLC is a financial advisory company based in Newport Beach, California. Triad Investment Management, LLC controls $76.9 million in total assets throughout 77 customer accounts. The firm has a small team, including 2 financial advisors. Triad Investment Management, LLC does not act as a registered broker-dealer, signifying that the company is not able to buy and sell securities for its own accounts as well as its customers' and instead must go through a broker-dealer firm to do so. Securities are tradable financial assets like bonds, options and stocks.

Triad Investment Management, LLC administers all of its accounts on a discretionary basis. Discretionary management signifies that buy and sell judgments for the client's account are made by a portfolio manager without needing client permission. Triad Investment Management, LLC administers an average of $999,336 in assets for every account. The typical advisor at Triad Investment Management, LLC administers around 39 client accounts, placing it towards the middle in terms of personalization.

The company's central office is located at 1301 Dove Street, Newport Beach, California 92660. Triad Investment Management, LLC is permitted to serve clients across a few states, including California and Texas.

Assets Under Management

$76.9 million

Number of Advisors

2

Disclosures

No

Office Location

1301 Dove Street
Newport Beach, CA 92660

Triad Investment Management, LLC by the Numbers

Total Assets Under Management

$76.9 million

National Average: $8.6 billion
Total Number of Employees

2

National Average: 64
Total Number of Accounts

77

National Average: 375,227
Average Account Size

$999.3 thousand

National Average: $23.0 thousand
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Products and Services

Financial services that Triad Investment Management, LLC provides can include financial planning services and portfolio management for individuals and small businesses. In the past financial year, the company provided financial planning services to 11-25 of its customers. It is not engaged in selling products or offering services apart from investment advice to its investment advisory clients.

Core Advisor Services

  • Offered by 31% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 46% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

  • Find a firm that offers this service

    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

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Fee Structure

Fees charged by financial advisors usually are based on which services the firm provides the client. Fees billed by Triad Investment Management, LLC typically consist of the following fee type: asset-based. Triad Investment Management, LLC does not provide a wrap fee program, in which the firm offers a bundle of services for a comprehensive fee.

Available

  • Offered by 69% of firms

    Percentage of Assets

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    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

Unavailable

  • Find one of the 21% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 1% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 26% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 0% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 32% of firms that offer this fee type

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

  • Find one of the 10% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

Triad Investment Management, LLC provides services to retail investors and high net worth investors. Out of its 77 customers, Triad Investment Management, LLC's biggest client type by number of accounts is high net worth investors, although it also manages money for 19 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an individual who has at least $750,000 under management or a net worth of more than $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of the firm's accounts are represented by non-U.S. persons.

  • High-Net-Worth Individuals* - 59.38%
  • Other Individuals - 40.62%
  • Corporations - 0%
  • 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

Triad Investment Management, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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