Tribeca Financial provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions. Financial planning was provided to 101–250 clients last fiscal year.
Tribeca Financial reports 248 clients. They include 160 individual clients, 59 high-net-worth individuals, and 14 pension and profit-sharing plans. Of its assets, 72.6% ($180M across 394 accounts) are managed with discretion; $68.1M across 180 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 65% | 15% |
| High-net-worth individuals | 24% | 58% |
| Pension and profit-sharing plans | 6% | 11% |
| Charitable organizations | <1% | <1% |
| Other investment advisers | 2% | 2% |
| Other client typesCorporations and other businesses | 4% | 14% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 160 | $37.5M | 15.1% | $234K |
| High-net-worth individuals | 59 | $144M | 57.9% | $2.44M |
| Pension and profit-sharing plans | 14 | $26.2M | 10.6% | $1.87M |
| Charitable organizations | Fewer than 5 | $30.6K | 0.0% | $30.6K |
| Other investment advisers | Fewer than 5 | $5.63M | 2.3% | $1.41M |
| Corporations and other businesses | 10 | $35.1M | 14.1% | $3.51M |
| Total | 248 | $248M | 100% | — |
- Clients
- 160
- Regulatory AUM
- $37.5M
- AUM share
- 15.1%
- Avg. per client
- $234K
- Clients
- 59
- Regulatory AUM
- $144M
- AUM share
- 57.9%
- Avg. per client
- $2.44M
- Clients
- 14
- Regulatory AUM
- $26.2M
- AUM share
- 10.6%
- Avg. per client
- $1.87M
- Clients
- Fewer than 5
- Regulatory AUM
- $30.6K
- AUM share
- 0.0%
- Avg. per client
- $30.6K
- Clients
- Fewer than 5
- Regulatory AUM
- $5.63M
- AUM share
- 2.3%
- Avg. per client
- $1.41M
- Clients
- 10
- Regulatory AUM
- $35.1M
- AUM share
- 14.1%
- Avg. per client
- $3.51M
Total
- Clients
- 248
- Regulatory AUM
- $248M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 101–250
Tribeca Financial is paid through a percentage of assets under management and other compensation. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Ryan Ricedorff owns 50% to 75% of Tribeca Financial. The leadership team of Tribeca Financial includes Chief Compliance Officer Ryan Ricedorff. It has 6 employees, 5 of them in advisory roles.
Staff
- 6 employees
- 5 in advisory functions
- 5 state-registered reps
- 5 insurance agents
- 2 soliciting firms
- Owns 50% to 75% of Tribeca Financial, LLC
Ryan Ricedorff
Control person · since March 2022
- Owns 50% to 75% of Tribeca Financial, LLC
Ricedorff Financial Services, LLC
Control person · since April 2022
- Owns 50% to 75% of Tribeca Financial, LLC
Hawkins Financial Services, LLC
Control person · since January 2025
- Owns 50% to 75% of Hawkins Financial Services, LLC
Chason Hawkins
Control person · since January 2025
Tribeca Financial’s regulatory assets grew 1.6× from $151M (March 2021) to $248M (March 2026); clients fell from 270 to 248 and employees were 6 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $248M | 248 | 6 | 3 |
| Mar 2025March 2025 | $203M | 243 | 6 | 3 |
| Apr 2024April 2024 | $188M | 256 | 6 | 3 |
| Apr 2023April 2023 | $145M | 219 | 5 | 3 |
| May 2022May 2022 | $172M | 248 | 5 | 3 |
| Mar 2021March 2021 | $151M | 270 | 6 | 3 |
Besides its headquarters, Tribeca Financial has 2 offices (1 private residence, listed without an address), with 2 listed addresses in 1 state.
Arizona · 2 listed addresses
- 2812 N. Norwalk, Ste 103, MesaHQ
- 3254 E Cactus Road, Phoenix
Other business names
Tribeca Financial has reported 1 other business name to the SEC.
- Ricedorff Financial Services LLC Dba Tribeca Financial Services, LLC
Contact and registration details
- Legal name
- Tribeca Financial, LLC
- Headquarters
- 2812 N. Norwalk, Ste 103, Mesa, AZ 85215
- Website
- tribecafinancial.co
- Phone
- 480-553-6247
- SEC file
- 801-60441
- Structure
- Arizona LLC
- Fiscal year end
- December
Tribeca Financial’s named custodian for separately managed accounts is Charles Schwab ($208M). Tribeca Financial does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $208M100%
At year end, Tribeca Financial’s separately managed accounts were mostly in funds (90%).
What the accounts hold
- Stocks1%
- Funds90%
- Bonds2%
- State and local bonds1%
- Investment grade corporate bonds1%
- Cash7%
How many clients does Tribeca Financial have?
Tribeca Financial has 248 clients and manages $248 million for them, as of March 2026. They include 160 individual clients, 59 high-net-worth individuals, and 14 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 17 March 2026
What services does Tribeca Financial offer?
Tribeca Financial provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Tribeca Financial use?
Tribeca Financial’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $208M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 17 March 2026
How many financial advisors does Tribeca Financial have?
Tribeca Financial has 5 investment adviser representatives registered with state securities authorities, out of 6 employees, and 5 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 5 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
What does Tribeca Financial invest in?
At the end of its last fiscal year, Tribeca Financial’s separately managed accounts held 90% registered funds (mutual funds, ETFs, BDCs), 7% cash and equivalents, 1% exchange-traded equities, 1% state and local bonds and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Tribeca Financial?
Tribeca Financial is owned through a holding company by Chason Hawkins. Its direct owners are Ryan Ricedorff (50% to 75%), Ricedorff Financial Services, LLC (50% to 75%) and Hawkins Financial Services, LLC (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 17 March 2026
How does Tribeca Financial get paid?
Tribeca Financial is paid through a percentage of assets under management and other compensation. 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
How do I contact Tribeca Financial?
Tribeca Financial’s main office is at 2812 N. Norwalk, Ste 103, Mesa, AZ 85215. Its phone number is 480-553-6247. Its website is tribecafinancial.co.