TRAN CAPITAL MANAGEMENT, L.P.

Advisory Business

Type of Organization	Limited Partnership
Fiscal Year End	DECEMBER
Legal Location	California, United States

Employees

Total Number of Employees	7
Investment Advisory/Research	3
Registered Broker-Dealer Representatives	1
Registered State Investment Advisers	2
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	301	$898.8M
Non-Discretionary	36	$45.7M
Total	337	$944.5M

Clients

Type	Number	RAUM
Individuals	161	$158.8M
HNW Individuals	81	$296.7M
Banking or thrift institutions	0	$0
Investment companies	1	$31.7M
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	5	$21.2M
Charitable organizations	28	$205.3M
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	25	$185.1M
Other	36	$45.7M

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0

Services

Advisory Services	Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clients
Compensation	% of AUM

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	63.7M
Both for Same	0

Portfolio Manager to Program	Sponsor
MASTERS	WELLS FARGO
MANAGER SELECT	LPL
ENVESTNET	ENVESTNET ASSET MANAGEMENT

Identifiers

SEC RIA File Number	801-9747
SEC ERA File Number	801-9747
SEC CIK Numbers	1009262
SEC CRD Numbers	107049
Legal Entity Identifier	None

Principal Office

1000 4TH ST
SUITE 800
SAN RAFAEL
CA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic