{"url":"https://nivawealth.com/firms/tricord-advisors-155749","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/155749","regulatoryAum":431532037,"crd":"155749","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4979964","suffix":null,"lastName":"BARKLEY","firstName":"LAURA","middleName":"ELIZABETH"},{"crd":"1178154","suffix":null,"lastName":"BARKLEY","firstName":"RANDY","middleName":"KING"},{"crd":"8052870","suffix":null,"lastName":"Hernandez","firstName":"Lesley","middleName":"Garduno"},{"crd":"7271911","suffix":null,"lastName":"Lee","firstName":"Jeremiah","middleName":"J"},{"crd":"5256117","suffix":"JR","lastName":"LYONS","firstName":"JOSEPH","middleName":"FRANCIS"},{"crd":"6160676","suffix":null,"lastName":"Marsh","firstName":"Christopher","middleName":"Mark"}],"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":"2021-05-18","regulatoryAum":152441018,"clients":491,"employees":4,"offices":1},{"filedOn":"2022-03-31","regulatoryAum":175588316,"clients":365,"employees":4,"offices":1},{"filedOn":"2023-03-31","regulatoryAum":170148195,"clients":474,"employees":4,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":201402185,"clients":409,"employees":5,"offices":1},{"filedOn":"2025-04-01","regulatoryAum":261667250,"clients":428,"employees":5,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":431532037,"clients":552,"employees":5,"offices":1}],"secFileNumber":"801-113764","legalName":"Tricord 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Brokerage, LLC","shortName":"Assetmark Brokerage","location":"Concord, CA","smaAssets":17156409},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"El Paso, TX","smaAssets":401593254},{"name":"Nationwide Securities, LLC","shortName":"Nationwide Securities","location":"Columbus, OH","smaAssets":5522325}],"custodyNote":"TriCord Advisors has custody of $4.05M for 5 clients.","otherCustodians":[],"leadership":[{"name":"Jeremiah Lee","title":"Chief Executive Officer","crd":"7271911"},{"name":"Laura Barkley","title":"President","crd":"4979964"},{"name":"Christopher Marsh","title":"Chief Compliance Officer","crd":"6160676"},{"name":"Randy Barkley","title":"Chief Growth Officer","crd":"1178154"}],"ownership":[{"label":"Jeremiah Lee","detail":"Chief executive officer in the 25% to 50% ownership band and a control person, since August 2024."},{"label":"Laura Barkley","detail":"President in the 50% to 75% ownership band and a control person, since August 2024."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"6772 Magnolia Avenue","city":"Riverside","headquarters":true}]}],"brochureServices":["insurance"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"951-684-7011","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":64},{"label":"U.S. government/agency bonds","percent":7},{"label":"Securities issued by 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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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does TriCord Advisors offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does TriCord Advisors use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does TriCord Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does TriCord Advisors invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns TriCord Advisors?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does TriCord Advisors get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact TriCord Advisors?","answer":"TriCord Advisors’ main office is at 6772 Magnolia Avenue, Riverside, CA 92506. Its phone number is 951-684-7011. Its website is tricordadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 30 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."}