{"url":"https://nivawealth.com/firms/tribeca-financial-113245","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/113245","regulatoryAum":248321387,"crd":"113245","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4491081","suffix":null,"lastName":"HAWKINS","firstName":"CHASON","middleName":"GLENN"},{"crd":"4547584","suffix":null,"lastName":"RICEDORFF","firstName":"RYAN","middleName":"J"},{"crd":"2257263","suffix":null,"lastName":"RICH","firstName":"CHRISTOPHER","middleName":"MURPHY"},{"crd":"3227076","suffix":null,"lastName":"ROOZENDAAL","firstName":"CHRISTOPHER","middleName":"PAUL"},{"crd":"4054134","suffix":null,"lastName":"SCHMIDT","firstName":"JAMES","middleName":"ARTHUR"},{"crd":"5605051","suffix":null,"lastName":"SHORTS","firstName":"KEVIN","middleName":"DEAN"}],"total":6,"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":"2021-03-22","regulatoryAum":150613591,"clients":270,"employees":6,"offices":3},{"filedOn":"2022-05-09","regulatoryAum":172313544,"clients":248,"employees":5,"offices":3},{"filedOn":"2023-04-10","regulatoryAum":144845722,"clients":219,"employees":5,"offices":3},{"filedOn":"2024-04-04","regulatoryAum":187956046,"clients":256,"employees":6,"offices":3},{"filedOn":"2025-03-26","regulatoryAum":202643084,"clients":243,"employees":6,"offices":3},{"filedOn":"2026-03-17","regulatoryAum":248321387,"clients":248,"employees":6,"offices":3}],"secFileNumber":"801-60441","legalName":"Tribeca Financial, LLC","displayName":"Tribeca Financial","slug":"tribeca-financial-113245","website":"https://tribecafinancial.co/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Arizona limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2812 N. Norwalk, Ste 103","city":"Mesa","state":"AZ","stateName":"Arizona","country":"United States","postalCode":"85215"},"tradeNames":["Ricedorff Financial Services LLC Dba Tribeca Financial Services, LLC"],"registration":{"secApproved":"27 July 2001","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":827973.6575342466,"staff":{"employees":6,"advisory":5,"brokerDealerReps":0,"insuranceAgents":5,"promoters":2},"aum":{"regulatory":248321387,"discretionary":180189593,"discretionaryAccounts":394,"nonDiscretionary":68131794,"nonDiscretionaryAccounts":180,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":160,"regulatoryAum":37519475},{"label":"High-net-worth individuals","clients":59,"regulatoryAum":143806756},{"label":"Pension and profit-sharing plans","clients":14,"regulatoryAum":26199973},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":30588},{"label":"Other investment advisers","clients":4,"fewerThan5":true,"regulatoryAum":5629156},{"label":"Corporations and other businesses","clients":10,"regulatoryAum":35135439}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T12:14:43.382384+00:00","documents":[{"name":"TRIBECA FINANCIAL, LLC DISCLOSURE BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016491","versionId":1016491,"submittedOn":"2026-03-10"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":208428139}],"custodyNote":"Tribeca Financial does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Ryan Ricedorff","title":"Chief Compliance Officer","crd":"4547584"}],"ownership":[{"label":"Ryan Ricedorff","detail":"Chief compliance officer in the 50% to 75% ownership band and a control person, since March 2022. Also a managing member of Ricedorff Financial Services, LLC in the 50% to 75% band and a control person, since April 2007."},{"label":"Ricedorff Financial Services, LLC","detail":"Owner in the 50% to 75% ownership band and a control person, since April 2022."},{"label":"Hawkins Financial Services, LLC","detail":"Owner in the 50% to 75% ownership band and a control person, since January 2025."},{"label":"Chason Hawkins","detail":"Indirect owner: a owner of Hawkins Financial Services, LLC in the 50% to 75% band and a control person, since January 2025.","parent":"Hawkins Financial Services, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":1},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Arizona","offices":2,"addresses":[{"street":"2812 N. Norwalk, Ste 103","city":"Mesa","headquarters":true},{"street":"3254 E Cactus Road","city":"Phoenix"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"480-553-6247","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Other"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Other"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":90},{"label":"Cash and cash equivalents","percent":7}],"privateFunds":0},"sources":{"adv1FilingDate":"17 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/113245/PDF/113245.pdf","brochureDate":"10 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016491","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Tribeca Financial have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Tribeca Financial offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Tribeca Financial use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Tribeca Financial have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Tribeca Financial invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Tribeca Financial?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Tribeca Financial get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Tribeca Financial?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 17 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."}