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
Tricord Advisors, Inc.
Latest filing Mar 30, 2026
First filing on the tape Jun 29, 2018 · 11 filings
SEC status approved since Jul 27, 2018
RAUM
$432M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$407M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$71.9M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$432M as of Mar 30, 2026
Mar 29, 2019$114M then
HNW client RAUM$375M as of Mar 30, 2026
Mar 29, 2019$85.6M then
State-registered IARs (5.B.3)5 as of Mar 30, 2026
Mar 29, 20193 then
Employees (5.A)5 as of Mar 30, 2026
Mar 29, 20193 then
Private funds: no history
RAUM +65% over the last fiscal year+36% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $71.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $313,386derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +65%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $4.1M, 5 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$375M87%
- Individuals$32.5M7.5%
- Pension and profit-sharing plans$11.8M2.7%
- Corporations and businesses$10.6M2.5%
- Charitable organizations$1.8M0.4%
- Individual clients
- 240reported
- HNW clients
- 290reported
- Pension plan clients
- 13reported
- Charitable clients
- 1reported
- Accounts
- 1,377reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.1M for 5 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joseph Francis LyonsCertified Financial Planner | Riverside, Ca | Mar 9, 2011 | 19 y | 1 |
| Laura Elizabeth Barkley | Riverside, Ca | Dec 23, 2024 | 18 y | 0 |
| Christopher Mark MarshCertified Financial Planner | Riverside, Ca | Jan 1, 2025 | 14 y | 0 |
| Randy King BarkleyCertified Financial Planner | Riverside, Ca | Jan 1, 2025 | 35 y | 3 |
| Jeremiah J Lee | Riverside, Ca | Jan 2, 2025 | 13 y | 0 |
| Lesley Garduno Hernandez | Riverside, Ca | May 28, 2026 | 14 y | 0 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Randy King Barkley from Liberty Wealth Management, LLCJan 1, 2025 · Other
- Joseph Francis Lyons from Hargrave & Associates, LLCMar 9, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Elizabeth Laura Barkley · Financial Plannercontrolsince 08/2023 · owns less than 5%
- King Randy Barkley · Chief Growth Officercontrolsince 12/2023 · owns less than 5%
- J Jeremiah Lee · Chief Executive Officercontrolsince 12/2023 · owns 75% or more
- Francis Joseph Lyons · Secretarycontrolsince 10/2010 · owns 10% to 25%
- Mark Christopher Marsh · Chief Compliance Officercontrolsince 01/2018 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Riverside, Ca · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $261,667,250 to $431,532,037 (+65.0%) between the annual amendments of 2025-04-01 and 2026-03-30; the peer median change was +15.0% (4550 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 1,032 to 1,377Apr 1, 2025 to Mar 30, 2026
- BD registered reps · 0 to 1Apr 1, 2025 to Mar 30, 2026
- Corporate clients · 5 to 8Apr 1, 2025 to Mar 30, 2026
- HNW clients · 161 to 290Apr 1, 2025 to Mar 30, 2026
- Individual clients · 261 to 240Apr 1, 2025 to Mar 30, 2026
- Pension plan clients · unset to 13.0Apr 1, 2025 to Mar 30, 2026
- Assets in custody · $6.5M to $4.1MApr 1, 2025 to Mar 30, 2026
- Financial planning clients · 26-50 to 51-100Apr 1, 2025 to Mar 30, 2026
- Discretionary RAUM · $262M to $432MApr 1, 2025 to Mar 30, 2026
- HNW RAUM · $213M to $375MApr 1, 2025 to Mar 30, 2026
- Individual RAUM · $43.8M to $32.5MApr 1, 2025 to Mar 30, 2026
- Pension RAUM · unset to 11796922.0Apr 1, 2025 to Mar 30, 2026
- RAUM · $262M to $432MApr 1, 2025 to Mar 30, 2026
- Accounts · 910 to 1,032Mar 28, 2024 to Apr 1, 2025
- BD registered reps · 1 to 0Mar 28, 2024 to Apr 1, 2025
- Charity clients · 3 to 1Mar 28, 2024 to Apr 1, 2025
- Corporate clients · 3 to 5Mar 28, 2024 to Apr 1, 2025
- HNW clients · 145 to 161Mar 28, 2024 to Apr 1, 2025
- Individual clients · 258 to 261Mar 28, 2024 to Apr 1, 2025
- Assets in custody · $5.3M to $6.5MMar 28, 2024 to Apr 1, 2025
- Financial planning clients · 26-50 to 26-50Mar 28, 2024 to Apr 1, 2025
- Discretionary RAUM · $201M to $262MMar 28, 2024 to Apr 1, 2025
- HNW RAUM · $162M to $213MMar 28, 2024 to Apr 1, 2025
- Individual RAUM · $35.0M to $43.8MMar 28, 2024 to Apr 1, 2025
- RAUM · $201M to $262MMar 28, 2024 to Apr 1, 2025
- Accounts · 966 to 910Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 4 to 5Mar 31, 2023 to Mar 28, 2024
- BD registered reps · 0 to 1Mar 31, 2023 to Mar 28, 2024
- Charity clients · unset to 3.0Mar 31, 2023 to Mar 28, 2024
- Corporate clients · unset to 3.0Mar 31, 2023 to Mar 28, 2024
- HNW clients · 167 to 145Mar 31, 2023 to Mar 28, 2024
- Individual clients · 307 to 258Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $5.0M to $5.3MMar 31, 2023 to Mar 28, 2024
- Employees · 4 to 5Mar 31, 2023 to Mar 28, 2024
- State-registered IARs · 4 to 5Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $170M to $201MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $132M to $162MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $38.0M to $35.0MMar 31, 2023 to Mar 28, 2024
- RAUM · $170M to $201MMar 31, 2023 to Mar 28, 2024
- Accounts · 807 to 966Mar 31, 2022 to Mar 31, 2023
Signals
4 dated events
- Tricord Advisors, Inc. reported RAUM $431.5M, up 65% from $261.7M (2025-04-01 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Elizabeth Laura Barkley (Financial Planner) appeared on Schedule A of Tricord Advisors, Inc.Mar 28, 2024 · Control person joined · fact
- J Jeremiah Lee (Chief Financial Officer) appeared on Schedule A of Tricord Advisors, Inc.Mar 31, 2021 · Control person joined · fact
- Tricord Advisors, Inc. filed its initial SEC registration (Form ADV)Jun 29, 2018 · 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
- Website
- TRICORDADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 951-684-7011reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- tricordadvisors.com/contactreportedpublished by the firm, firm site, Sep 15, 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
- $71.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026