DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Tricapital Advisors Inc

Former SEC-registered adviserNorth Bethesda, MarylandCRD 109224SEC 801-55933IAPD
Latest filing Aug 9, 2016
First filing on the tape Mar 9, 2012 · 12 filings
RAUM
$173M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$173M as of Mar 17, 2016
Mar 9, 2012$160M then
HNW client RAUM: no history
State-registered IARs (5.B.3)9 as of Mar 17, 2016
Mar 20, 201311 then
Employees (5.A)10 as of Mar 17, 2016
Mar 20, 201312 then
Private funds: no history
RAUM -3.4% over the last fiscal year-0.7% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Aug 9, 2016; every figure names its basis
RAUM per advisor
$19.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$195,214derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
4.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-3.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publicationsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
888reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Soldinger Jan Amie Campbell · Vice President Of Operationscontrol
      since 07/2006 · owns less than 5%
    • Elliot Mark Schwartz · President And Chief Compliance Officercontrol
      since 05/2006 · owns 75% or more
    • Nmi Robert Lopinto · Owner
      since 07/1993 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    • Bart J. Lanman
      insurancey
    • Donald B. Farren
      insurancey
    • Limin Lee
      insurancey
    • Michael J. Burke
      insurancey
    Offices
    Schedule D 1.F, the 25 largest
    • ,
    What changed
    consecutive filings, newest first
    • Accounts · 906 to 888
      Feb 20, 2015 to Mar 17, 2016
    • Advisory employees · 9 to 4
      Feb 20, 2015 to Mar 17, 2016
    • Financial planning clients · 51-100 to 26-50
      Feb 20, 2015 to Mar 17, 2016
    • Discretionary RAUM · $173M to $167M
      Feb 20, 2015 to Mar 17, 2016
    • Non-discretionary RAUM · $6.3M to $6.4M
      Feb 20, 2015 to Mar 17, 2016
    • RAUM · $180M to $173M
      Feb 20, 2015 to Mar 17, 2016
    • Accounts · 834 to 906
      Aug 13, 2014 to Feb 20, 2015
    • Discretionary RAUM · $182M to $173M
      Aug 13, 2014 to Feb 20, 2015
    • Non-discretionary RAUM · $6.1M to $6.3M
      Aug 13, 2014 to Feb 20, 2015
    • RAUM · $188M to $180M
      Aug 13, 2014 to Feb 20, 2015
    • Advisory employees · 12 to 9
      Mar 26, 2014 to Aug 13, 2014
    • Employees · 13 to 10
      Mar 26, 2014 to Aug 13, 2014
    • State-registered IARs · 11 to 9
      Mar 26, 2014 to Aug 13, 2014
    • Accounts · 995 to 834
      Sep 11, 2013 to Mar 26, 2014
    • Employees · 14 to 13
      Sep 11, 2013 to Mar 26, 2014
    • Discretionary RAUM · $171M to $182M
      Sep 11, 2013 to Mar 26, 2014
    • Non-discretionary RAUM · $5.4M to $6.1M
      Sep 11, 2013 to Mar 26, 2014
    • RAUM · $177M to $188M
      Sep 11, 2013 to Mar 26, 2014
    • Advisory employees · 11 to 12
      Aug 22, 2013 to Sep 11, 2013
    • Employees · 12 to 14
      Aug 22, 2013 to Sep 11, 2013
    • Related insurance company · false to true
      Aug 22, 2013 to Sep 11, 2013
    • Accounts · 856 to 995
      Mar 9, 2012 to Mar 20, 2013
    • Advisory employees · unset to 11.0
      Mar 9, 2012 to Mar 20, 2013
    • Employees · unset to 12.0
      Mar 9, 2012 to Mar 20, 2013
    • State-registered IARs · unset to 11.0
      Mar 9, 2012 to Mar 20, 2013
    • Discretionary RAUM · $155M to $171M
      Mar 9, 2012 to Mar 20, 2013
    • Non-discretionary RAUM · $4.8M to $5.4M
      Mar 9, 2012 to Mar 20, 2013
    • RAUM · $160M to $177M
      Mar 9, 2012 to Mar 20, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026