# Triad Investment Management, LLC

> Triad Investment Management, LLC is an SEC-registered investment advisory firm in Newport Beach, CA, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 16, 2026.

- CRD: 146786
- Filed as: TRIAD INVESTMENT MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Newport Beach, CA
- Filing period: October 2026
- Form ADV filing dated: September 16, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/146786
- AdvisorCensus page: https://advisorcensus.com/firm/triad-investment-management-llc-newport-beach-ca-146786

## Quick answers

**How is Triad Investment Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Triad Investment Management, LLC reports these compensation arrangements: a percentage of assets under its management.

**Where is Triad Investment Management, LLC located?**
Triad Investment Management, LLC's principal office is in Newport Beach, CA, according to its Form ADV.

**Is Triad Investment Management, LLC registered with the SEC or a state?**
Triad Investment Management, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 146786.

**How much does Triad Investment Management, LLC manage?**
Triad Investment Management, LLC reports $119,542,078 in regulatory assets under management in its Form ADV filing dated September 16, 2026 (100% discretionary).

**How have Triad Investment Management, LLC's assets and staff changed since 2021?**
In the Form ADV data for Triad Investment Management, LLC: Regulatory assets under management: $103,464,506 in the October 2021 data and $119,542,078 in the October 2026 data, up 16%. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Triad Investment Management, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (25); individuals (other than high net worth individuals) (15); corporations or other businesses not listed above (5).

**Which custodians does Triad Investment Management, LLC use?**
Triad Investment Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists National Financial Services LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Triad Investment Management, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/146786

**Does Triad Investment Management, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated June 16, 2026 says: "Generally, Triad requires clients to maintain a minimum relationship of $1,000,000. Significant funds withdrawal may result in a request for additional fund deposits to continue with management of accounts." "Triad may reduce or waive the account minimum requirements at our discretion."

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated June 16, 2026)

- Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)

> Generally, Triad requires clients to maintain a minimum relationship of $1,000,000. Significant funds withdrawal may result in a request for additional fund deposits to continue with management of accounts.

> Triad may reduce or waive the account minimum requirements at our discretion.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- National Financial Services LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $119,542,078
- Discretionary: $119,542,078
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 15 | $4,719,522 |
| High net worth individuals | 25 | $103,173,606 |
| Charitable organizations | Fewer than 5 | $346,999 |
| Corporations or other businesses not listed above | 5 | $11,301,951 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2026 (0 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [triadim.com](https://triadim.com)
- [triadinvestmentmanagement.com](https://triadinvestmentmanagement.com)
- Facebook @TRIADINVEST
- LinkedIn @TRIAD-INVESTMENT-MANAGEMENT
- X @TRIADINVESTMENT

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $103,464,506 | 2 | August 9, 2021 |
| October 2022 | $124,945,961 | 2 | April 25, 2022 |
| October 2026 | $119,542,078 | 2 | September 16, 2026 |

Regulatory assets under management: $103,464,506 in the October 2021 data and $119,542,078 in the October 2026 data, up 16%.
Total employees: 2 in October 2021 and 2 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Triad Investment Management, LLC (CRD 146786): Form ADV filing data as of October 2026.