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.
SEC-registered adviser
Tricapital Wealth Management, Inc.
Latest filing Mar 3, 2026
First filing on the tape Mar 1, 2022 · 10 filings
SEC status approved since Mar 31, 2022
RAUM
$133M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$127M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$44.2M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$133M as of Mar 3, 2026
Mar 27, 2023$90.4M then
HNW client RAUM$92.3M as of Mar 3, 2026
Mar 27, 2023$50.8M then
State-registered IARs (5.B.3)3 as of Mar 3, 2026
Mar 27, 20232 then
Employees (5.A)3 as of Mar 3, 2026
Mar 27, 20233 then
Private funds: no history
RAUM +12% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $44.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $691,170derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +60%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $18.7M, 17 clientsreportedItem 9.A
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$92.3M70%
- Individuals$34.9M26%
- Corporations and businesses$5.6M4.2%
- Individual clients
- 75reported
- HNW clients
- 50reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 192reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $85.1M managedreported
- Custody of client assets
- $18.7M for 17 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Randall Eugene WhiteCertified Financial Planner | Charlotte, Nc | Feb 3, 2003 | 34 y | 2 |
| William Vance Smith | Charlotte, Nc | Apr 12, 2024 | 9 y | 1 |
| Brian Jeffrey DaltonCertified Financial Planner | Charlotte, Nc | Apr 16, 2024 | 10 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Cynthia Laine Reninger to LPL Financial LLCAug 19, 2024 · RIA to affiliated broker-dealer or bank
- Matthew Gregory Jelnicky to Cetera Advisor Networks LLCMar 30, 2006 · Other
- James Carl Hedstrom to Carroll Financial Associates IncDec 31, 2004 · Other
- Carl David Hedstrom to Carroll Financial Associates IncDec 31, 2004 · Other
Joined, latest
- Brian Jeffrey Dalton from Vanguard Advisers, Inc.Apr 16, 2024 · Affiliated broker-dealer or bank to independent RIA
- William Vance Smith from Kestra Private Wealth Services, LLCApr 12, 2024 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Eugene Randall White · President/Chief Compliance Officercontrolsince 02/1999 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 178 to 192Mar 27, 2025 to Mar 3, 2026
- HNW clients · 37 to 50Mar 27, 2025 to Mar 3, 2026
- Individual clients · 41 to 75Mar 27, 2025 to Mar 3, 2026
- Assets in custody · $16.8M to $18.7MMar 27, 2025 to Mar 3, 2026
- Employees · 4 to 3Mar 27, 2025 to Mar 3, 2026
- Discretionary RAUM · $114M to $127MMar 27, 2025 to Mar 3, 2026
- HNW RAUM · $98.0M to $92.3MMar 27, 2025 to Mar 3, 2026
- Individual RAUM · $16.4M to $34.9MMar 27, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $5.0M to $5.5MMar 27, 2025 to Mar 3, 2026
- RAUM · $119M to $133MMar 27, 2025 to Mar 3, 2026
- Wrap assets (manager) · $76.1M to $85.1MMar 27, 2025 to Mar 3, 2026
- Accounts · 197 to 178Sep 19, 2024 to Mar 27, 2025
- Advisory employees · 2 to 3Sep 19, 2024 to Mar 27, 2025
- BD registered reps · 2 to 3Sep 19, 2024 to Mar 27, 2025
- HNW clients · 19 to 37Sep 19, 2024 to Mar 27, 2025
- Individual clients · 68 to 41Sep 19, 2024 to Mar 27, 2025
- Assets in custody · $20.7M to $16.8MSep 19, 2024 to Mar 27, 2025
- Employees · 3 to 4Sep 19, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Sep 19, 2024 to Mar 27, 2025
- State-registered IARs · 2 to 3Sep 19, 2024 to Mar 27, 2025
- Discretionary RAUM · $102M to $114MSep 19, 2024 to Mar 27, 2025
- HNW RAUM · $62.6M to $98.0MSep 19, 2024 to Mar 27, 2025
- Individual RAUM · $41.3M to $16.4MSep 19, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $1.6M to $5.0MSep 19, 2024 to Mar 27, 2025
- RAUM · $104M to $119MSep 19, 2024 to Mar 27, 2025
- Wrap assets (manager) · $66.6M to $76.1MSep 19, 2024 to Mar 27, 2025
- Accounts · 198 to 197Mar 27, 2023 to Mar 21, 2024
- HNW clients · 16 to 19Mar 27, 2023 to Mar 21, 2024
- Individual clients · 72 to 68Mar 27, 2023 to Mar 21, 2024
- Assets in custody · $18.1M to $20.7MMar 27, 2023 to Mar 21, 2024
- Discretionary RAUM · $89.3M to $102MMar 27, 2023 to Mar 21, 2024
- HNW RAUM · $50.8M to $62.6MMar 27, 2023 to Mar 21, 2024
- Individual RAUM · $39.5M to $41.3MMar 27, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $1.1M to $1.6MMar 27, 2023 to Mar 21, 2024
- RAUM · $90.4M to $104MMar 27, 2023 to Mar 21, 2024
- Wrap assets (manager) · $56.1M to $66.6MMar 27, 2023 to Mar 21, 2024
- Accounts · 183 to 198Apr 7, 2022 to Mar 27, 2023
- Advisory activities · 4 to 3Apr 7, 2022 to Mar 27, 2023
- BD registered reps · 3 to 2Apr 7, 2022 to Mar 27, 2023
- HNW clients · 0 to 16Apr 7, 2022 to Mar 27, 2023
Signals
2 dated events
- Cynthia Laine Reninger left Tricapital Wealth Management, Inc. for Lpl Financial Llc (registered 2024-09-04)Aug 19, 2024 · Advisor changed firm · fact
- Tricapital Wealth Management, Inc. filed its initial SEC registration (Form ADV)Mar 1, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/tricapitalweathreportedpublic record, Form ADV, Sep 18, 2026
- Website
- tricapitaladvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 704-571-8778reportedpublic record, Form ADV, Mar 3, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $44.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026