{"url":"https://nivawealth.com/firms/trinity-capital-management-143097","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/143097","regulatoryAum":556811058,"crd":"143097","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5311341","suffix":null,"lastName":"BAKER","firstName":"DANIEL","middleName":"RYAN"},{"crd":"4549537","suffix":null,"lastName":"BUCHER","firstName":"ANDREW","middleName":"YOON"},{"crd":"4190041","suffix":null,"lastName":"FISHER","firstName":"FREDRIC","middleName":"BRIAN"},{"crd":"5391090","suffix":null,"lastName":"KALOOSTIAN","firstName":"LENA","middleName":"LISA"},{"crd":"5455702","suffix":null,"lastName":"PLASCENCIA","firstName":"ORLANDO","middleName":null}],"total":5,"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":"2021-03-05","regulatoryAum":340620139,"clients":298,"employees":6,"offices":3},{"filedOn":"2022-03-21","regulatoryAum":392810085,"clients":358,"employees":5,"offices":3},{"filedOn":"2023-03-17","regulatoryAum":382669754,"clients":376,"employees":5,"offices":3},{"filedOn":"2024-02-29","regulatoryAum":413737315,"clients":386,"employees":5,"offices":3},{"filedOn":"2025-03-12","regulatoryAum":453528157,"clients":388,"employees":5,"offices":3},{"filedOn":"2026-04-15","regulatoryAum":556811058,"clients":393,"employees":6,"offices":3}],"secFileNumber":"801-67581","legalName":"Trinity Capital Management, LLC","displayName":"Trinity Capital Management","slug":"trinity-capital-management-143097","website":"https://trinitycm.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"607 De La Vista Ave.","city":"Santa Barbara","state":"CA","stateName":"California","country":"United States","postalCode":"93103"},"tradeNames":[],"registration":{"secApproved":"23 February 2007","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1148181.6223404256,"staff":{"employees":6,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":556811058,"discretionary":556337146,"discretionaryAccounts":933,"nonDiscretionary":473912,"nonDiscretionaryAccounts":21,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":204,"regulatoryAum":49767469},{"label":"High-net-worth individuals","clients":172,"regulatoryAum":381948821},{"label":"Pension and profit-sharing plans","clients":6,"regulatoryAum":7544530},{"label":"Charitable organizations","clients":8,"regulatoryAum":116061264},{"label":"Corporations and other businesses","clients":3,"regulatoryAum":1488974}],"feePrograms":[{"role":"main","program":"Investment and wealth management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1041608","versionId":1041608,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-04-15","documentName":"TRINITY CAPITAL MANAGEMENT, LLC - FORM ADV PART 2A - 02/2026","fee_rate_low":0.45,"fee_rate_high":1.2,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":"annual","fee_minimum_annual":3000},{"role":"other","program":"Advanced Planning","summary":"Flat fee usually from $500 to $20,000 for advanced planning provided to non-wealth management clients; 50% may be charged before services begin.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1041608","versionId":1041608,"submittedOn":"2026-04-15","documentName":"TRINITY CAPITAL MANAGEMENT, LLC - FORM ADV PART 2A - 02/2026"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T09:13:35.185482+00:00","documents":[{"name":"TRINITY CAPITAL MANAGEMENT, LLC - FORM ADV PART 2A - 02/2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1041608","versionId":1041608,"submittedOn":"2026-04-15"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":530291986}],"custodyNote":"Trinity Capital Management has custody of $45.8M in client assets for 64 clients.","leadership":[{"name":"Fredric Fisher","title":"Managing Member / President / Chief Compliance Officer","crd":"4190041"},{"name":"Andrew Bucher","title":"Non-Managing Member / Chief Investment Officer","crd":"4549537"}],"ownership":[{"label":"Fredric Fisher","detail":"Managing member / president / chief compliance officer in the 75% or more ownership band and a control person, since September 2006."},{"label":"Andrew Bucher","detail":"Non-managing member / chief investment officer in the 10% to 25% ownership band and a control person, since February 2010."}],"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"California","offices":2,"addresses":[{"street":"607 De La Vista Ave.","city":"Santa Barbara","headquarters":true},{"street":"1225 East 16th Street","city":"Upland"}]},{"state":"Washington","offices":1,"addresses":[{"street":"606 Columbia Street NW","city":"Olympia"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"805-963-0500","stateRegisteredReps":4,"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"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":3},{"label":"U.S. government/agency bonds","percent":6},{"label":"U.S. state and local bonds","percent":13},{"label":"Investment grade corporate bonds","percent":16},{"label":"Securities issued by registered investment companies or business development companies","percent":60},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"15 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/143097/PDF/143097.pdf","brochureDate":"15 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1041608","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 Trinity Capital Management have?","answer":"Trinity Capital Management has 393 clients and manages $557 million for them, as of April 2026. They include 204 individual clients, 172 high-net-worth individuals and 8 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 15 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Trinity Capital Management offer?","answer":"Trinity Capital Management provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Trinity Capital Management charge?","answer":"Trinity Capital Management charges 0.45%–1.20% a year for its Investment and wealth management. The fee is billed in arrears, is negotiable and has a $3,000 annual minimum.","source":"TRINITY CAPITAL MANAGEMENT, LLC - FORM ADV PART 2A - 02/2026, filed 15 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Trinity Capital Management use?","answer":"Trinity Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $530M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 15 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Trinity Capital Management have?","answer":"Trinity Capital Management has 4 investment adviser representatives registered with state securities authorities, out of 6 employees, and 4 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 Trinity Capital Management invest in?","answer":"At the end of its last fiscal year, Trinity Capital Management’s separately managed accounts held 60% registered funds (mutual funds, ETFs, BDCs), 16% investment grade corporate bonds, 13% state and local bonds, 6% U.S. government and agency bonds, 3% exchange-traded equities and 2% cash and equivalents.","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 Trinity Capital Management?","answer":"Trinity Capital Management’s direct owners are Fredric Fisher (75% or more) and Andrew Bucher (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 15 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Trinity Capital Management get paid?","answer":"Trinity Capital Management 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":"Is Trinity Capital Management registered with the SEC?","answer":"Yes, Trinity Capital Management has been registered with the SEC as an investment adviser since 23 February 2007. Its CRD number is 143097 and its SEC file number is 801-67581.","source":"Form ADV Part 1A, Item 1, filed 15 April 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Trinity Capital Management?","answer":"Trinity Capital Management’s main office is at 607 De La Vista Ave., Santa Barbara, CA 93103. Its phone number is 805-963-0500. Its website is trinitycm.com.","source":"Form ADV Part 1A, Item 1.F, filed 15 April 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."}