{"url":"https://nivawealth.com/firms/tran-capital-management-107049","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/107049","regulatoryAum":890294385,"crd":"107049","history":[{"filedOn":"2021-06-07","regulatoryAum":1173406966,"clients":334,"employees":11,"offices":1},{"filedOn":"2022-06-22","regulatoryAum":1438843961,"clients":378,"employees":8,"offices":1},{"filedOn":"2023-03-15","regulatoryAum":868413131,"clients":363,"employees":8,"offices":1},{"filedOn":"2024-02-26","regulatoryAum":944502018,"clients":337,"employees":7,"offices":1},{"filedOn":"2025-04-01","regulatoryAum":958743001,"clients":329,"employees":7,"offices":1},{"filedOn":"2026-02-23","regulatoryAum":890294385,"clients":348,"employees":7,"offices":1}],"acquisitions":[{"date":"2019-04-25","datePrecision":"day","name":"Underhill Investment 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They include 215 individual clients, 78 high-net-worth individuals and 19 other clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Tran Capital Management offer?","answer":"Tran Capital Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Tran Capital Management use?","answer":"Tran Capital Management’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $233M, Charles Schwab & Co., Inc. (San Francisco, CA), with $165M and First Financial Trust (Abilene, TX), with $101M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Tran Capital Management have?","answer":"Tran Capital Management has 2 investment adviser representatives registered with state securities authorities, out of 7 employees, and 3 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 0 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Tran Capital Management invest in?","answer":"At the end of its last fiscal year, Tran Capital Management’s separately managed accounts held 95% exchange-traded equities and 5% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Tran Capital Management?","answer":"Tran Capital Management is owned through holding companies by Quoc Tran, Eric Winterhalter and McCarthy Group, LLC. Its direct owners are Tran Capital Management, LLC (50% to 75%) and Tran Capital MGL, LLC (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 23 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Tran Capital Management get paid?","answer":"Tran Capital Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Tran Capital Management registered with the SEC?","answer":"Yes, Tran Capital Management has been registered with the SEC as an investment adviser since 16 February 1974. 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}