TRICAPITAL WEALTH MANAGEMENT, INC.
Latest filing: Mar 27, 2025 (71 days ago)
AUM
$118,748,487
14% change vs. 1 year ago
17% change vs. 3 years ago
0% change vs. 5 years ago
0% change vs. 10 years ago
Employee Count
4
33% change vs. 1 year ago
33% change vs. 3 years ago
0% change vs. 5 years ago
0% change vs. 10 years ago
Main Office
CHARLOTTE, NC
THREE SOUTH EXECUTIVE PARK, CHARLOTTE, NC, UNITED STATES, 28210
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.1 |
| Non-Discretionary | $0.0 |
| Total | $0.1 |
| Client | AUM |
|---|---|
| Retail | $0.1 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.1 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 41 | $0.0 |
| Average Individual AUM | $401,037 | |
| HNW | 37 | $0.1 |
| Average HNW AUM | $2,647,338 | |
| Retail Total | 78 | $0.1 |
| Average Retail AUM | $1,466,590 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $0.1 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.1 |
| Retail SMA AUM | $0.1 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 65% | $0.1 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 1% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 28% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 5% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $0.1 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Control Persons
Representatives
4 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| WILLIAM SMITH | CHARLOTTE | NC | S65|2023-01-09|S63|2024-05-03 | ||||||
| BRIAN DALTON | CHARLOTTE | NC | S66|2019-08-08 | CERTIFIED FINANCIAL PLANNER | |||||
| CYNTHIA RENINGER | CHARLOTTE | NC | S63|2000-01-11 | CERTIFIED FINANCIAL PLANNER | |||||
| RANDALL WHITE | CHARLOTTE | NC | S63|1991-10-29|S65|1993-06-14 | CERTIFIED FINANCIAL PLANNER | |||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $0.1 | $0.0 | 0% | 4 | 0 | 0% |
| 2025-04-21 | $0.1 | $0.0 | 0% | 4 | 0 | 0% |
| 2024-04-02 | $0.1 | $0.0 | 14% | 3 | 1 | 33% |
| 2023-04-04 | $0.1 | $0.0 | 31% | 3 | 1 | 33% |
| 2022-04-01 | $0.1 | $0.0 | 17% | 3 | 1 | 33% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NC, NC-03/31/2022, SC-03/31/2022 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
REP BROKER DEALER INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV