TRI-AD CAPITAL MANAGEMENT I, LLC
Adviser information for TRI-AD CAPITAL MANAGEMENT I, LLC last updated from Form ADV on March 27th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 6 | $28.2M |
| Non-Discretionary | 50 | $380.4M |
| Total | 56 | $408.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 55 | $325.6M |
| 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 | <5 | $83.0M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-127335 |
|---|---|
| SEC ERA File Number | 801-127335 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 324364 |
| Legal Entity Identifier | None |
Principal Office
221 W. CREST ST., STE. 300ESCONDIDO
CA
United States
Monday - Friday, 7:30 - 5:00
Tel: 760-743-7555, Fax: 760-233-4744
Websites
Chief Compliance Officer
JUDY SIMONS
221 WEST CREST STREET
SUITE 300
ESCONDIDO
CA
United States
Tel:
760-705-3024
Fax:
760-233-4744
J******@*********M
(Full email address available in API data)
Regulatory Contact
VICKI JOY
ASST CONTROLLER
221 WEST CREST STREET
SUITE 300
ESCONDIDO
CA
United States
Tel:
760-743-7555
Fax:
760-233-4745
V***@*********M
(Full email address available in API data)
Industry Affiliates
| TRI-AD ACTUARIES, LLC | Pension consultant |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Simons, Judy, Ann | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2016 | < 5% |
| Aitken, Hilarie, Ann | Individual | – | CEO & PRESIDENT | 11/2022 | < 5% |
| NAVIA BENEFITS SOLUTIONS, INC | Domestic Entity | – | SHAREHOLDER | 11/2022 | > 75% |
| Boyd, Tina, Davis | Individual | – | VICE PRESIDENT AND SECRETARY | 11/2022 | < 5% |
| NORTH HOLDCO, INC. | Domestic Entity | NAVIA BENEFITS SOLUTIONS, INC | SHAREHOLDER | 11/2022 | > 75% |
| NORTH PARENT, INC. | Domestic Entity | NORTH HOLDCO, INC. | SHAREHOLDER | 11/2022 | > 75% |
| NORTH TOPCO, LLC | Domestic Entity | NORTH PARENT, INC. | SHAREHOLDER | 11/2022 | > 75% |
| Aitken, Hilarie, Ann | Individual | NORTH TOPCO, LLC | SHAREHOLDER | 11/2022 | |
| TA ASSOCIATES | Domestic Entity | NORTH TOPCO, LLC | SHAREHOLDER | 11/2022 | 50-75% |