This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Firm class

independent wealth managerderivedprivate_client_share=0.9 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0

Regulatory AUM

$120MItem 5.F on the latest filing (2026-09-16); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$120M

Private client RAUM

$108MderivedItem 5.D individuals plus high net worth individuals

Private client share

90%derivedprivate client RAUM over total RAUM

Advisors on IAPD

2

RAUM per advisor

$59.8Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

2

Advisory employees

2

Offices

1Schedule D 1.F, beyond the principal office

Accounts

98

Individual clients

15

High net worth clients

25

Custody, client assets

$76.4M

SEC number

801-136071

CIK

1615717

CRD

146786

Filings on the tape

37

First filed

Feb 7, 2012

Latest filed

Sep 16, 2026

Organised

Limited Liability Company, CA

• Occurred

  Jan 24, 2020
  Control person joined

  Alexandra Tonina Heldman (Trustee Of The Heldman Family Trust U/A 6/16/2011) appeared on Schedule A of Triad Investment Management, Llc

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:72a61c38-cf31-49df-7f95-4ce784436673

First observed

Feb 7, 2012

Last observed

Sep 16, 2026 5 days ago

Source families

Federal regulator filings

3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.