Hedge Fund Database

TRIAD INVESTMENT MANAGEMENT, LLC

Adviser information for TRIAD INVESTMENT MANAGEMENT, LLC last updated from Form ADV on June 23rd, 2023. 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 California, United States

Employees

Total Number of Employees 2
Investment Advisory/Research 2
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 2
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 77 $76.9M
Non-Discretionary 0 $0
Total 77 $76.9M

Clients

Type Number RAUM
Individuals 13 $3.3M
HNW Individuals 19 $64.3M
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 0 $0
Charitable organizations <5 $239,573
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 <5 $9.2M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 11-25

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businesses
Compensation % of AUM

Identifiers

SEC RIA File Number 801-68966
SEC ERA File Number 801-68966
SEC CIK Numbers 1615717
SEC CRD Numbers 146786
Legal Entity Identifier None

Principal Office

1301 DOVE STREET
SUITE 1080
NEWPORT BEACH
CA
United States
Monday - Friday, 7:00 AM - 3:30 PM
Tel: (949) 679-3991, Fax: 949-851-7912

Websites

www.triadinvestmentmanagement.com www.linkedin.com/company/triad-investment-management/ twitter.com/triadinvestment www.triadim.com www.facebook.com/triadinvest/

Chief Compliance Officer

DAVID M. HUTCHISON
PARTNER
1301 DOVE STREET
SUITE 1080
NEWPORT BEACH
CA
United States
Tel: (949) 679-3991
Fax: 949-851-7912
(Full email address available in API data)

Regulatory Contact

JOHN EDWARD HELDMAN
PARTNER
1301 DOVE STREET
SUITE 1080
NEWPORT BEACH
CA
United States
Tel: (949) 679-3991
Fax: 949-851-7912
(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
HUTCHISON, DAVID, MICHAEL Individual – CHIEF COMPLIANCE OFFICER 03/2015 < 5%
THE DAVID AND BROOKE HUTCHISON FAMILY TRUST ESTABLISHED JULY 25, 2018 Domestic Entity – MEMBER 07/2018 10-25%
HELDMAN FAMILY TRUST U/A 6/16/2011 Domestic Entity – MANAGING MEMBER 09/2019 > 75%
HELDMAN, JOHN, EDWARD Individual HELDMAN FAMILY TRUST U/A 6/16/2011 TRUSTEE OF THE HELDMAN FAMILY TRUST U/A 6/16/2011 09/2019
HUTCHISON, DAVID, MICHAEL Individual THE DAVID AND BROOKE HUTCHISON FAMILY TRUST ESTABLISHED JULY 25, 2018 TRUSTEE OF THE DAVID AND BROOKE HUTCHISON FAMILY TRUST ESTABLISHED JULY 25, 2018 07/2018
HUTCHISON, BROOKE, GILMOUR Individual THE DAVID AND BROOKE HUTCHISON FAMILY TRUST ESTABLISHED JULY 25, 2018 TRUSTEE OF THE DAVID AND BROOKE HUTCHISON FAMILY TRUST ESTABLISHED JULY 25, 2018 07/2018
HELDMAN, TONINA, ALEXANDRA Individual HELDMAN FAMILY TRUST U/A 6/16/2011 TRUSTEE OF THE HELDMAN FAMILY TRUST U/A 6/16/2011 09/2019
HELDMAN, JOHN, EDWARD Individual – PARTNER 02/2008 < 5%

No. Employees, Historic

1050202020212022202320242 on 1/24/20202 on 6/29/20202 on 10/6/20202 on 2/23/20212 on 7/1/20212 on 8/9/20212 on 2/9/20222 on 3/16/20222 on 4/25/20222 on 3/30/20232 on 5/19/20232 on 6/12/20232 on 6/22/20232 on 6/23/2023

RAUM, Historic

200M100M020202021202220232024121771663 on 1/24/2020121771663 on 6/29/2020121771663 on 10/6/2020103464506 on 2/23/2021103464506 on 7/1/2021103464506 on 8/9/2021124945961 on 2/9/2022124945961 on 3/16/2022124945961 on 4/25/202276948899 on 3/30/202376948899 on 5/19/202376948899 on 6/12/202376948899 on 6/22/202376948899 on 6/23/2023

No. Clients, Historic

703502020202120222023202434 on 1/24/202034 on 6/29/202034 on 10/6/202064 on 2/23/202164 on 7/1/202164 on 8/9/202162 on 2/9/202262 on 3/16/202262 on 4/25/202232 on 3/30/202332 on 5/19/202332 on 6/12/202332 on 6/22/202332 on 6/23/2023

Holdings

From latest 13F, filed April 12th, 2024 for period ending March 31st, 2024
Name Class Value $USD # Shares Private Fund
ALPHABET INC CAP STK CL C 308K 2K –
ALTUS POWER INC COM CL A 277K 58K –
AMERICAN EXPRESS CO COM 2M 8K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 1M 3K –
BROWN & BROWN INC COM 3M 36K –
CANNAE HLDGS INC COM 4M 201K –
CARMAX INC COM 3M 40K –
CBRE GROUP INC CL A 2M 16K –
CDW CORP COM 3M 12K –
CLARUS CORP NEW COM 121K 18K –
COMCAST CORP NEW CL A 302K 7K –
DANAHER CORPORATION COM 700K 3K –
ENTEGRIS INC COM 2M 11K –
FIDELITY NATL INFORMATION SV COM 3M 39K –
FISERV INC COM 4M 25K –
GARTNER INC COM 5M 10K –
GENERAC HLDGS INC COM 232K 2K –
HERCULES CAPITAL INC COM 2M 109K –
INTUIT COM 426K 656 –
JOHNSON & JOHNSON COM 801K 5K –
KORN FERRY COM NEW 3M 50K –
MARRIOTT VACATIONS WORLDWIDE COM 2M 21K –
MEDIAALPHA INC CL A 5M 249K –
MERCK & CO INC COM 353K 3K –
MICROSOFT CORP COM 685K 2K –
MOHAWK INDS INC COM 2M 13K –
OAKTREE SPECIALTY LENDING CO COM 4M 185K –
PERMIAN RESOURCES CORP CLASS A COM 182K 10K –
QURATE RETAIL INC COM SER A 12K 10K –
ROPER TECHNOLOGIES INC COM 2M 4K –
S&P GLOBAL INC COM 366K 861 –
SCHLUMBERGER LTD COM STK 4M 75K –
SLR INVESTMENT CORP COM 1M 94K –
SS&C TECHNOLOGIES HLDGS INC COM 3M 53K –
THOR INDS INC COM 4M 32K –
TRANSOCEAN LTD REGISTERED SHS 194K 31K –
VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 4M 75K –
VISA INC COM CL A 2M 8K –
WARNER BROS DISCOVERY INC COM SER A 2M 233K –
WATSCO INC COM 335K 776 –
WELLS FARGO CO NEW COM 290K 5K –
WHITE MTNS INS GROUP LTD COM 3M 2K –