# Tricapital Wealth Management, Inc.

> Tricapital Wealth Management, Inc. is an SEC-registered investment advisory firm in Charlotte, NC, registered since 2022, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 3, 2026.

- CRD: 118788
- Filed as: TRICAPITAL WEALTH MANAGEMENT, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Charlotte, NC
- Filing period: October 2026
- Form ADV filing dated: March 3, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/118788
- AdvisorCensus page: https://advisorcensus.com/firm/tricapital-wealth-management-inc-charlotte-nc-118788

## Quick answers

**How is Tricapital Wealth Management, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Tricapital Wealth Management, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges.

**Where is Tricapital Wealth Management, Inc. located?**
Tricapital Wealth Management, Inc.'s principal office is in Charlotte, NC, according to its Form ADV.

**Is Tricapital Wealth Management, Inc. registered with the SEC or a state?**
Tricapital Wealth Management, Inc. is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 118788.

**How much does Tricapital Wealth Management, Inc. manage?**
Tricapital Wealth Management, Inc. reports $132,704,661 in regulatory assets under management in its Form ADV filing dated March 3, 2026 (96% discretionary).

**How have Tricapital Wealth Management, Inc.'s assets and staff changed since 2022?**
In the Form ADV data for Tricapital Wealth Management, Inc.: Regulatory assets under management: $101,274,994 in the October 2022 data and $132,704,661 in the October 2026 data, up 31%. Total employees: 3 in October 2022 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Tricapital Wealth Management, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (75); high net worth individuals (50).

**Which custodians does Tricapital Wealth Management, Inc. use?**
Tricapital Wealth Management, Inc.'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 Tricapital Wealth Management, Inc. 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/118788

**What changed in Tricapital Wealth Management, Inc.'s recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $118,748,487 to $132,704,661 (+12%).

## From the Form ADV filing

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

### 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: $132,704,661
- Discretionary: $127,162,321
- Non-discretionary: $5,542,340

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 75 | $34,883,516 |
| High net worth individuals | 50 | $92,269,048 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | Fewer than 5 | $5,552,097 |
| Other | 0 | $0 |

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

### Firm details
- Registered since: 2022 (4 years)
- Employees: 3 total, 3 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: NC, SC
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- tricapitaladvisors.com
- tricapitalgroup.com
- tricapitalwealthmanagement.com
- tricapitalwm.com
- Facebook @TRICAPITAL-WEALTH-MANAGEMENT-178870385990639
- LinkedIn @tricapitalweath
- X @TRICAPITALWM

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2022 | $101,274,994 | 3 | April 7, 2022 |
| October 2023 | $90,365,046 | 3 | March 27, 2023 |
| October 2024 | $103,924,599 | 3 | September 19, 2024 |
| October 2025 | $118,748,487 | 4 | March 27, 2025 |
| October 2026 | $132,704,661 | 3 | March 3, 2026 |

Regulatory assets under management: $101,274,994 in the October 2022 data and $132,704,661 in the October 2026 data, up 31%.
Total employees: 3 in October 2022 and 3 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $118,748,487 to $132,704,661 (+12%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Tricapital Wealth Management, Inc. (CRD 118788): Form ADV filing data as of October 2026.