{"url":"https://nivawealth.com/firms/tri-ad-capital-management-i-324364","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/324364","regulatoryAum":618950543,"crd":"324364","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5616518","suffix":null,"lastName":"Byrom","firstName":"Russell","middleName":null},{"crd":"6006899","suffix":null,"lastName":"THOMAS","firstName":"JENNIFER","middleName":null}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2023-01-13","regulatoryAum":361831391,"clients":56,"employees":5,"offices":1},{"filedOn":"2024-06-25","regulatoryAum":408550395,"clients":55,"employees":4,"offices":1},{"filedOn":"2025-06-25","regulatoryAum":463362428,"clients":54,"employees":4,"offices":1},{"filedOn":"2026-03-23","regulatoryAum":618950543,"clients":43,"employees":1,"offices":2}],"secFileNumber":"801-127335","legalName":"Tri-Ad Capital Management I, LLC","displayName":"Tri-Ad Capital Management I","slug":"tri-ad-capital-management-i-324364","website":null,"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"221 W. Crest St., Ste. 300","city":"Escondido","state":"CA","stateName":"California","country":"United States","postalCode":"92025"},"tradeNames":[],"registration":{"secApproved":"21 February 2023","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":3502128.933333333,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":618950543,"discretionary":0,"discretionaryAccounts":0,"nonDiscretionary":618950543,"nonDiscretionaryAccounts":55,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":15,"regulatoryAum":52531934},{"label":"Pension and profit-sharing plans","clients":28,"regulatoryAum":441437635},{"label":"Other","clients":null,"fewerThan5":true,"regulatoryAum":124980974}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Charles Schwab","shortName":"Charles Schwab","location":"San Fransicso, CA","smaAssets":320210342},{"name":"Umb Bank","shortName":"Umb Bank","location":"Kansas City, MO","smaAssets":82956044}],"custodyNote":"Tri-Ad Capital Management I does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Hilarie Aitken","title":"CEO & President","crd":"7685521"},{"name":"Tina Boyd","title":"Vice President and Secretary","crd":"7685632"},{"name":"Jennifer Thomas","title":"Chief Compliance Officer","crd":"6006899"}],"ownership":[{"label":"Navia Benefits Solutions, Inc","detail":"Shareholder in the 75% or more ownership band and a control person, since November 2022."},{"label":"North Holdco, Inc.","detail":"Indirect owner: a shareholder of Navia Benefits Solutions, Inc in the 75% or more band and a control person, since November 2022.","parent":"Navia Benefits Solutions, Inc"},{"label":"North Parent, Inc.","detail":"Indirect owner: a shareholder of North Holdco, Inc. in the 75% or more band and a control person, since November 2022.","parent":"North Holdco, Inc."},{"label":"Hilarie Aitken","detail":"Indirect owner: shareholder of SCP CDH Intermediate, Inc. and a control person, since November 2022.","parent":"SCP CDH Intermediate, Inc."},{"label":"SCP CDH Buyer, Inc.","detail":"Indirect owner: a shareholder of North Parent, Inc. in the 75% or more band and a control person, since December 2025.","parent":"North Parent, Inc."},{"label":"SCP CDH Intermediate, Inc.","detail":"Indirect owner: a employee of SCP CDH Buyer, Inc. in the 75% or more band and a control person, since December 2025.","parent":"SCP CDH Buyer, Inc."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"California","offices":2,"addresses":[{"street":"221 W. Crest St., Ste. 300","city":"Escondido","headquarters":true},{"street":"735 W Alluvial Ave","city":"Fresno"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"760-743-7555","stateRegisteredReps":0,"otherAdviserReps":1,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"0","assetMix":[{"label":"Securities issued by registered investment companies or business development companies","percent":100}],"privateFunds":0},"sources":{"adv1FilingDate":"23 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/324364/PDF/324364.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Tri-Ad Capital Management I have?","answer":"Tri-Ad Capital Management I has 43 clients and manages $619 million for them, as of March 2026. They include 28 pension and profit-sharing plans and 15 individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Tri-Ad Capital Management I offer?","answer":"Tri-Ad Capital Management I provides portfolio management for individuals and small businesses and pension consulting.","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 Tri-Ad Capital Management I use?","answer":"Tri-Ad Capital Management I’s separately managed account assets are held at Charles Schwab (San Fransicso, CA), with $320M and Umb Bank (Kansas City, MO), with $83M. 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 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Tri-Ad Capital Management I have?","answer":"Tri-Ad Capital Management I has 0 investment adviser representatives registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Tri-Ad Capital Management I invest in?","answer":"At the end of its last fiscal year, Tri-Ad Capital Management I’s separately managed accounts held 100% registered funds (mutual funds, ETFs, BDCs).","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 Tri-Ad Capital Management I?","answer":"Tri-Ad Capital Management I’s direct owner is Navia Benefits Solutions, Inc (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Tri-Ad Capital Management I get paid?","answer":"Tri-Ad Capital Management I is paid through a percentage of assets under management and fixed fees. 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":"How do I contact Tri-Ad Capital Management I?","answer":"Tri-Ad Capital Management I’s main office is at 221 W. Crest St., Ste. 300, Escondido, CA 92025. Its phone number is 760-743-7555.","source":"Form ADV Part 1A, Item 1.F, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. 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."}