Tri Ad Capital Management Inc. (Escondido)

Name: Tri Ad Capital Management Inc.
Address: 221 W Crest Street, Suite 300, Escondido, CA, 92025
Telephone: 760-743-7555

Tri Ad Capital Management Inc. is a large advisory firm based in Escondido. It manages $210.01 million of regulatory assets for 38 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Arizona and California.

Tri Ad Capital Management provides portfolio management for individuals and small businesses and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Tri Ad Capital Management: assets under management

The assets under management (AUM) of Tri Ad Capital Management Inc. is $210.01 million. The firm's AUM has grown by 97% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.29 million in discretionary accounts and $206.72 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.29 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $5.59 million.

Investments

The firm invests in pooled investment vehicles the most. They account for 92% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 8% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Tri Ad Capital Management Inc. for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Curtis Duane Hamilton serves?

The only and largest group of clients of Curtis Duane Hamilton is pension and profit sharing plans with 38 clients and $210.01 million of assets under management. Among the 7 most similar advisory firms, Tri Ad Capital Management has the highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $210.01 million for 38 clients. None of the firm’s clients are foreign persons or businesses.

Tri Ad Capital Management doesn't advise any private funds.

Careers at Tri Ad Capital Management Inc.

The company employs 5 people that are either part- or full-time employees. 40 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Curtis Duane Hamilton has been acting as President since 1 Dec 1993. Judy Ann Simons joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Curtis Duane Hamilton	President	1 Dec 1993	75% - 100%	600859
Judy Ann Simons	Chief compliance officer	1 Sep 2016	Other	6707966

Based in Escondido

The principal office where Tri Ad Capital Management Inc. performs its advisory services is located at 221 W Crest Street, Suite 300, Escondido, CA 92025, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 760-743-7555 or by fax 760-743-5712. The normal business hours are 7:30 - 5:00 on Monday - Friday. You can find more information about the New York firm at tri-ad.com.