TRICAPITAL WEALTH MANAGEMENT, INC.
Adviser information for TRICAPITAL WEALTH MANAGEMENT, INC. last updated from Form ADV on March 21st, 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 | North Carolina, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| 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 | 193 | $102.3M |
| Non-Discretionary | 4 | $1.6M |
| Total | 197 | $103.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 68 | $41.3M |
| HNW Individuals | 19 | $62.6M |
| 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 | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 66.6M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ADVISOR MANAGED ASSET BASED PORTFOLIO | TRIAD ADVISORS, LLC |
Identifiers
| SEC RIA File Number | 801-123572 |
|---|---|
| SEC ERA File Number | 801-123572 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 118788 |
| Legal Entity Identifier | None |
Principal Office
THREE SOUTH EXECUTIVE PARK6115 PARK SOUTH DRIVE, SUITE 330
CHARLOTTE
NC
United States
Monday - Friday, 8:30AM - 5PM
Tel: 704-571-8778, Fax: 704-571-8779
Chief Compliance Officer
RANDALL WHITE
PRESIDENT
THREE SOUTH EXECUTIVE PARK
6115 PARK SOUTH DRIVE, SUITE 330
CHARLOTTE
NC
United States
Tel:
704/571-8778
Fax:
704/571-8779
R*****@******************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 |
|---|---|---|---|---|---|
| WHITE, RANDALL, EUGENE | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 02/1999 | > 75% |