TRICORD ADVISORS, INC.
Adviser information for TRICORD ADVISORS, INC. last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 910 | $201.4M |
| Non-Discretionary | 0 | $0 |
| Total | 910 | $201.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 258 | $35.0M |
| HNW Individuals | 145 | $161.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 3 | $2.6M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 3 | $2.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Real estate broker, dealer, or agentInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-113764 |
|---|---|
| SEC ERA File Number | 801-113764 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155749 |
| Legal Entity Identifier | None |
Principal Office
6772 MAGNOLIA AVENUERIVERSIDE
CA
United States
Monday - Friday, 8:30 A.M. - 5:00 P.M.
Tel: 951-684-7011, Fax: 951-684-7021
Websites
Chief Compliance Officer
CHRISTOPHER M. MARSH
DIRECTOR OF OPERATIONS
6772 MAGNOLIA AVENUE
RIVERSIDE
CA
United States
Tel:
951-684-7011
Fax:
951-684-7021
C****@******************M
(Full email address available in API data)
Regulatory Contact
JEREMIAH J LEE
CEO
6772 MAGNOLIA AVENUE
RIVERSIDE
CA
United States
Tel:
(951) 684-7011
Fax:
(951) 684-7021
J*******@******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BARKLEY, RANDY, KING | Individual | – | CHIEF GROWTH OFFICER | 12/2023 | < 5% |
| LYONS, JOSEPH, FRANCIS | Individual | – | SECRETARY | 10/2010 | 10-25% |
| MARSH, CHRISTOPHER, MARK | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2018 | < 5% |
| Lee, Jeremiah, J | Individual | – | CHIEF EXECUTIVE OFFICER | 12/2023 | > 75% |
| BARKLEY, LAURA, ELIZABETH | Individual | – | FINANCIAL PLANNER | 08/2023 | < 5% |