TRIBECA FINANCIAL, LLC
Adviser information for TRIBECA FINANCIAL, LLC last updated from Form ADV on March 26th, 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 | Arizona, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 320 | $128.8M |
| Non-Discretionary | 203 | $59.1M |
| Total | 523 | $188.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 179 | $40.5M |
| HNW Individuals | 44 | $94.3M |
| 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 | 12 | $27.2M |
| Charitable organizations | <5 | $30,457 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 5 | $928,865 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 15 | $25.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSOLICITATION |
|---|---|
| Compensation | % of AUMREFERRAL FEES |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-60441 |
|---|---|
| SEC ERA File Number | 801-60441 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 113245 |
| Legal Entity Identifier | None |
Principal Office
2812 N. NORWALKSTE 103
MESA
AZ
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 480-553-6247, Fax: None
Chief Compliance Officer
RYAN J RICEDORFF
PRESIDENT
2812 N. NORWALK
SUITE 103
MESA
AZ
United States
Tel:
480-553-6227
R*************@******************S
(Full email address available in API data)
Regulatory Contact
BERRI WALKER
2812 N. NORWALK
SUITE 103
MESA
AZ
United States
Tel:
480-553-6227
B******@******************S
(Full email address available in API data)
Industry Affiliates
| GOLDENHAWK PROFESSIONAL ASSOCIATES, LLC | Insurance company or agency |
| SHORTS FINANCIAL SERVICES, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RICEDORFF, RYAN, J | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2022 | > 75% |
| RICEDORFF FINANCIAL SERVICES, LLC | Domestic Entity | – | OWNER | 04/2022 | > 75% |
| RICEDORFF, RYAN, J | Individual | RICEDORFF FINANCIAL SERVICES, LLC | MANAGING MEMBER | 04/2007 | > 75% |