TriCord Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, educational seminars, and insurance. Financial planning was provided to 51–100 clients last fiscal year.
TriCord Advisors reports 552 clients. They include 290 high-net-worth individuals, 240 individual clients, and 13 pension and profit-sharing plans. Of its assets, 100.0% ($432M across 1,377 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 43% | 8% |
| High-net-worth individuals | 53% | 87% |
| Pension and profit-sharing plans | 2% | 3% |
| Charitable organizations | <1% | <1% |
| Corporations and other businesses | 1% | 2% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 240 | $32.5M | 7.5% | $136K |
| High-net-worth individuals | 290 | $375M | 86.9% | $1.29M |
| Pension and profit-sharing plans | 13 | $11.8M | 2.7% | $907K |
| Charitable organizations | 1 | $1.79M | 0.4% | $1.79M |
| Corporations and other businesses | 8 | $10.6M | 2.5% | $1.32M |
| Total | 552 | $432M | 100% | $782K |
- Clients
- 240
- Regulatory AUM
- $32.5M
- AUM share
- 7.5%
- Avg. per client
- $136K
- Clients
- 290
- Regulatory AUM
- $375M
- AUM share
- 86.9%
- Avg. per client
- $1.29M
- Clients
- 13
- Regulatory AUM
- $11.8M
- AUM share
- 2.7%
- Avg. per client
- $907K
- Clients
- 1
- Regulatory AUM
- $1.79M
- AUM share
- 0.4%
- Avg. per client
- $1.79M
- Clients
- 8
- Regulatory AUM
- $10.6M
- AUM share
- 2.5%
- Avg. per client
- $1.32M
Total
- Clients
- 552
- Regulatory AUM
- $432M
- AUM share
- 100%
- Avg. per client
- $782K
- 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
- 51–100
TriCord Advisors is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial Planning Fees
- Financial planning is generally provided for a flat fee of $2,500, payable at the time of engagement.
Laura Barkley owns 50% to 75% of TriCord Advisors. Jeremiah Lee is CEO; the leadership team includes President Laura Barkley and Chief Compliance Officer Christopher Marsh. It has 5 employees.
Staff
- 5 employees
- 5 in advisory functions
- 5 state-registered reps
- 1 broker-dealer rep
- 2 insurance agents
- 1 soliciting firm
- Owns 50% to 75% of Tricord Advisors, Inc.
Laura Barkley
Control person · since August 2024
- Owns 25% to 50% of Tricord Advisors, Inc.
Jeremiah Lee
Control person · since August 2024
TriCord Advisors’ regulatory assets grew 2.8× from $152M (May 2021) to $432M (March 2026); clients rose from 491 to 552 and employees from 4 to 5.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $432M | 552 | 5 | 1 |
| Apr 2025April 2025 | $262M | 428 | 5 | 1 |
| Mar 2024March 2024 | $201M | 409 | 5 | 1 |
| Mar 2023March 2023 | $170M | 474 | 4 | 1 |
| Mar 2022March 2022 | $176M | 365 | 4 | 1 |
| May 2021May 2021 | $152M | 491 | 4 | 1 |
Besides its headquarters, TriCord Advisors has 0 offices, with 1 listed address in 1 state.
California · 1 listed address
- 6772 Magnolia Avenue, RiversideHQ
Contact and registration details
- Legal name
- Tricord Advisors, Inc.
- Headquarters
- 6772 Magnolia Avenue, Riverside, CA 92506
- Website
- tricordadvisors.com
- Phone
- 951-684-7011
- SEC file
- 801-113764
- Founded
- 2011
- Structure
- California corporation
- Fiscal year end
- December
TriCord Advisors’ named custodians for separately managed accounts are Charles Schwab ($402M, 95%), Assetmark Brokerage ($17.2M, 4%) and Nationwide Securities ($5.52M, 1%). TriCord Advisors has custody of $4.05M for 5 clients.
- Assetmark BrokerageAssetmark Brokerage, LLC · Concord, CA · $17.2M4%
- Charles SchwabCharles Schwab & Co., Inc. · El Paso, TX · $402M95%
- Nationwide SecuritiesNationwide Securities, LLC · Columbus, OH · $5.52M1%
At year end, TriCord Advisors’ separately managed accounts were mostly in stocks (64%) and funds (25%).
What the accounts hold
- Stocks64%
- Funds25%
- Bonds7%
- Cash3%
- Other1%
- Variable annuities - nationwide - nq1%
How many clients does TriCord Advisors have?
TriCord Advisors has 552 clients and manages $432 million for them, as of March 2026. They include 290 high-net-worth individuals, 240 individual clients, and 13 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026
What services does TriCord Advisors offer?
TriCord Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, educational seminars, and insurance.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
Which custodians does TriCord Advisors use?
TriCord Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (El Paso, TX), with $402M, Assetmark Brokerage, LLC (Concord, CA), with $17.2M and Nationwide Securities, LLC (Columbus, OH), with $5.52M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026
How many financial advisors does TriCord Advisors have?
TriCord Advisors has 5 investment adviser representatives registered with state securities authorities, out of 5 employees, and 5 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 2 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 TriCord Advisors invest in?
At the end of its last fiscal year, TriCord Advisors’ separately managed accounts held 64% exchange-traded equities, 25% registered funds (mutual funds, ETFs, BDCs), 7% U.S. government and agency bonds, 3% cash and equivalents and 1% other. The 1% other category is described as: Variable Annuities - Nationwide - NQ.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns TriCord Advisors?
TriCord Advisors’ direct owners are Jeremiah Lee (25% to 50%) and Laura Barkley (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 30 March 2026
How does TriCord Advisors get paid?
TriCord Advisors is paid through a percentage of assets under management, hourly charges 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
How do I contact TriCord Advisors?
TriCord Advisors’ main office is at 6772 Magnolia Avenue, Riverside, CA 92506. Its phone number is 951-684-7011. Its website is tricordadvisors.com.
