# Tricord Advisors, Inc.

> Tricord Advisors, Inc. is an SEC-registered investment advisory firm in Riverside, CA, registered since 2018, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 155749
- Filed as: TRICORD ADVISORS, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Riverside, CA
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/155749
- AdvisorCensus page: https://advisorcensus.com/firm/tricord-advisors-inc-riverside-ca-155749

## Quick answers

**How is Tricord Advisors, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Tricord Advisors, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**How much does Tricord Advisors, Inc. charge?**
Its Form ADV Part 2A brochure dated March 30, 2026 states: Flat fee: $2,500 (financial planning and consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Tricord Advisors, Inc. located?**
Tricord Advisors, Inc.'s principal office is in Riverside, CA, according to its Form ADV.

**Is Tricord Advisors, Inc. registered with the SEC or a state?**
Tricord Advisors, Inc. is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 155749.

**How much does Tricord Advisors, Inc. manage?**
Tricord Advisors, Inc. reports $431,532,037 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Tricord Advisors, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Tricord Advisors, Inc.: Regulatory assets under management: $152,441,018 in the October 2021 data and $431,532,037 in the October 2026 data, up 183%. Total employees: 4 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Tricord Advisors, Inc. serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (290); individuals (other than high net worth individuals) (240); pension and profit sharing plans (but not the plan participants or government pension plans) (13).

**Which custodians does Tricord Advisors, Inc. use?**
Tricord Advisors, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Assetmark Brokerage, LLC, Charles Schwab & Co., Inc. and Nationwide Securities, LLC as custodians holding 10% or more of its separately managed account assets.

**Does Tricord Advisors, 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/155749

**What changed in Tricord Advisors, Inc.'s recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $261,667,250 to $431,532,037 (+65%). Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 30, 2026)

- Flat fee: $2,500 (financial planning and consulting services)

> TriCord also offers financial planning and consulting services for a fixed fee. Financial planning services are generally provided for a flat fee of $2,500, payable at the time of engagement.

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

### Custodians (Schedule D, Section 5.K(3))
- Assetmark Brokerage, LLC
- Charles Schwab & Co., Inc.
- Nationwide Securities, 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: $431,532,037
- Discretionary: $431,532,037
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 240 | $32,541,421 |
| High net worth individuals | 290 | $374,826,177 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 13 | $11,796,922 |
| Charitable organizations | 1 | $1,793,494 |
| Corporations or other businesses not listed above | 8 | $10,574,023 |

### Advisory services (Item 5.G)
- 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

### Firm details
- Registered since: 2018 (8 years)
- Employees: 5 total, 5 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- tricordadvisors.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $152,441,018 | 4 | May 18, 2021 |
| October 2022 | $175,588,316 | 4 | March 31, 2022 |
| October 2023 | $170,148,195 | 4 | March 31, 2023 |
| October 2024 | $201,402,185 | 5 | March 28, 2024 |
| October 2025 | $261,667,250 | 5 | April 1, 2025 |
| October 2026 | $431,532,037 | 5 | March 30, 2026 |

Regulatory assets under management: $152,441,018 in the October 2021 data and $431,532,037 in the October 2026 data, up 183%.
Total employees: 4 in October 2021 and 5 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $261,667,250 to $431,532,037 (+65%).
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Tricord Advisors, Inc. (CRD 155749): Form ADV filing data as of October 2026.