{
  "crd_number": 113245,
  "slug": "tribeca-financial-llc-mesa-az-113245",
  "primary_business_name": "TRIBECA FINANCIAL, LLC",
  "legal_name": "TRIBECA FINANCIAL, LLC",
  "dbas": [
    "RICEDORFF FINANCIAL SERVICES LLC DBA TRIBECA FINANCIAL SERVICES, LLC"
  ],
  "city": "Mesa",
  "state": "AZ",
  "country": "United States",
  "cbsa_code": "38060",
  "metro": {
    "cbsa_code": "38060",
    "common_name": "Phoenix",
    "msa_name": "Phoenix-Mesa-Chandler, AZ",
    "path": "/advisors/az/phoenix"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2001-07-27",
  "years_registered": 25,
  "period": "2026-10-01",
  "filing_date": "2026-03-17",
  "carried_forward": false,
  "raum_total": 248321387.0,
  "raum_discretionary": 180189593.0,
  "raum_non_discretionary": 68131794.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 6,
  "advisory_employees": 5,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 30588.0,
      "count": 1,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 37519475.0,
      "count": 160
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 26199973.0,
      "count": 14
    },
    "other_investment_advisers": {
      "raum": 5629156.0,
      "count": 4,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 143806756.0,
      "count": 59
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 35135439.0,
      "count": 10
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "other",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AK",
    "AZ",
    "CA",
    "MO",
    "NM",
    "NV",
    "TX",
    "UT",
    "VA",
    "WA"
  ],
  "websites": [
    "https://goldenhawkprofessionals.com",
    "https://tribecafinancial.co"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/113245",
  "city_as_filed": "MESA",
  "url": "https://advisorcensus.com/firm/tribeca-financial-llc-mesa-az-113245",
  "display_name": "Tribeca Financial, LLC",
  "summary": "Tribeca Financial, LLC is an SEC-registered investment advisory firm in Mesa, AZ, registered since 2001, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 17, 2026.",
  "citation": "AdvisorCensus. Tribeca Financial, LLC (CRD 113245): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Other"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Tribeca Financial, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Tribeca Financial, LLC reports these compensation arrangements: a percentage of assets under its management; other. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Tribeca Financial, LLC located?",
      "a": "Tribeca Financial, LLC's principal office is in Mesa, AZ, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Tribeca Financial, LLC registered with the SEC or a state?",
      "a": "Tribeca Financial, LLC is an SEC-registered investment advisory firm, registered since 2001. Status as filed: Approved. CRD 113245."
    },
    {
      "q": "How much does Tribeca Financial, LLC manage?",
      "a": "Tribeca Financial, LLC reports $248,321,387 in regulatory assets under management in its Form ADV filing dated March 17, 2026 (73% discretionary)."
    },
    {
      "q": "How have Tribeca Financial, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Tribeca Financial, LLC: Regulatory assets under management: $150,613,591 in the October 2021 data and $248,321,387 in the October 2026 data, up 65%. Total employees: 6 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Tribeca Financial, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (160); high net worth individuals (59); pension and profit sharing plans (but not the plan participants or government pension plans) (14)."
    },
    {
      "q": "Which custodians does Tribeca Financial, LLC use?",
      "a": "Tribeca Financial, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Tribeca Financial, LLC report any disciplinary disclosures?",
      "a": "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/113245"
    },
    {
      "q": "What changed in Tribeca Financial, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $202,643,084 to $248,321,387 (+23%). Registered or notice-filed in AK, MO, NM. Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 150613591.0,
      "total_employees": 6,
      "filing_date": "2021-03-22"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 172313544.0,
      "total_employees": 5,
      "filing_date": "2022-05-09"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 144845722.0,
      "total_employees": 5,
      "filing_date": "2023-04-10"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 187956046.0,
      "total_employees": 6,
      "filing_date": "2024-04-04"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 202643084.0,
      "total_employees": 6,
      "filing_date": "2025-03-26"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 248321387.0,
      "total_employees": 6,
      "filing_date": "2026-03-17"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $202,643,084 to $248,321,387 (+23%).",
        "Registered or notice-filed in AK, MO, NM.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/tribeca-financial-llc-mesa-az-113245.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 160,
      "fewer_than_5": false,
      "raum": 37519475.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 59,
      "fewer_than_5": false,
      "raum": 143806756.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 14,
      "fewer_than_5": false,
      "raum": 26199973.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 1,
      "fewer_than_5": true,
      "raum": 30588.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 4,
      "fewer_than_5": true,
      "raum": 5629156.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 10,
      "fewer_than_5": false,
      "raum": 35135439.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/113245",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}