We are dedicated to providing investment management and strategic wealth planning that is right for you. Simply put, we strive to be our client's trusted advisor.
Triad's mission is help you define and progress toward your goals for your family's financial future.
You don't have to have all the answers, and you could use someone in your corner providing straightforward, unbiased advice. A fiduciary, not a salesperson. With follow-through to help make sure your plans happen.
It's our view that investor outcomes are driven to a significant degree by investor behavior.
|Firm Start Year:||2008|
|No. of Employees:||2-4|
|Name of Custodial Firm:||Fidelity Institutional Wealth Services|
|Number of Years with Current Firm:||8|
|Work Experience:||2013-present: Triad Investment Management, Partner 2009-2013: Chamberlain Group, Investment Strategist 2005-2009: Hutchison Capital, Founding Partner 2000-2005: Insight Capital Research & Management, Senior Equity Analyst|
|Work with the following types of clients:||Non-Profit Organizations, Businesses, Individual Investors|
|Advisory Services Provided:||Financial Advice & Consulting, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Financial Planning for Individuals, Investment Advice & Management|
|Investment Types:||Closed-end funds, Exchange Traded Funds (ETFs), Stocks, Bonds|
|Can meet clients in the following ways:||Phone, Our Office, Your Home, Email, Our Offices, Video Conference, Your Office|
Qualifications & Memberships
|Financial Organization Memberships:||CFA Institute|
|Firm's Number of Clients:||25|
|Firm's Number of Planning Clients:||0|
|Firm's Number of Managed Clients:||25|
|Assets Managed by Firm:||$120 million|
|Advisor's Number of Clients:||25|
|Advisor's Number of Managed Clients:||25|
|Advisor's Number of Planning Clients:||0|
|Assets Managed by Advisor:||$120 million|
Compensation and Fees
|Minimum Portfolio Size for New Managed Accounts:||$500000|
|Compensation Methods:||Based on Assets|
|Fee % Based on Assets:||100|
|Organization :||CalOptima, 505 City Parkway W, Orange, CA 92868|
|Position :||Investment Advisory Committee Member|
|B.A. - Political Science||Macalester College
- St. Paul, Minnesota
August 1989-May 1993
|MBA - Investment Management||University of Southern California
- Los Angeles, California
August 1998-May 2000
We provide portfolio management services for our clients. Our approach is to invest in a select number of equity and fixed income securities allocated to match each client's preferences and risk tolerance. We are long-term oriented in our equity investment philosophy.
We assist clients in determining their financial needs in retirement, taking into account the increased lifespans and concurrently longer retirement periods.
We work with clients to educate them on the benefits and costs of rolling over 401(k) assets to a rollover IRA.
We provide wealth management services for our clients including financial planning, investment management with periodic meetings via phone, Zoom or in-person.
We provide money management services for our clients. Our approach is to invest in a select number of equity and fixed income securities allocated to match each client's preferences and risk tolerance. We are long-term oriented in our equity investment philosophy.
Do you have a customer satisfaction or refund policy?
Yes. Any client unhappy with our services can leave and we will refund any unearned fees.
Why should I choose you as my financial advisor?
We are experienced in working to solve the financial challenges from financial planning to investment management that face our client families.
What are your qualifications? What is your education background?
Our qualifications are provided in the biographies for each partner.
How do you charge for your services?
We charge a fixed percentage of assets under our management.
How are you compensated? How will I pay for your services?
Triad is compensated based on an assets under management fee schedule applied to your account. The fee is deducted on a quarterly basis from your account. The fee is deducted in advance of the quarter.
WiserAdvisor provides referrals to financial professionals. WiserAdvisor is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for WiserAdvisor to make these referrals, resulting in a conflict of interest.
Additional Detailed Disclosures
|Triad Investment Management, LLC is a registered investment adviser with the Securities and Exchange Commission, is notice filed in its home state, and may be notice filed in various other states. Triad Investment Management, LLC may only transact business or render personalized investment advice in those states and international jurisdictions where we are registered, notice filed, or where we qualify for an exemption or exclusion from registration requirements. The purpose of this web site is to provide general information on our products and services only and should not be construed as a solicitation to effect, or attempt to effect, either transactions in securities or the rendering of personalized investment advice over the Internet. Any communications with prospective clients residing in states or international jurisdictions where Triad Investment Management, LLC and its advisory affiliates are not registered or licensed shall be limited so as not to trigger registration or licensing requirements.|
Registered Investment Advisor:
Investment Advisor Representative:
Compliance Disclosures in Last 5 years:
Have a clean record
Criminal Disclosures in Last 5 years:
Have a clean record
|Mon.||7:00 AM - 3:30 PM|
|Tue.||7:00 AM - 3:30 PM|
|Wed.||7:00 AM - 3:30 PM|
|Thu.||7:00 AM - 3:30 PM|
|Fri.||7:00 AM - 3:30 PM|
|Dana Point||Foothill Ranch|
|Garden Grove||Hawaiian Gardens|
|La Habra||La Mirada|
|La Palma||Ladera Ranch|
|Laguna Beach||Laguna Hills|
|Laguna Niguel||Lake Forest|
|Los Alamitos||Mission Viejo|
|Newport Beach||Newport Coast|
|Placentia||Rancho Santa Margarita|
|Rowland Heights||San Clemente|
|San Juan Capistrano||Santa Ana|
|Santa Fe Springs||Seal Beach|
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