Data / Investment advisers / California / Triad Investment Management, LLC
Triad Investment Management, LLC, Newport Beach, CA: $120 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Triad Investment Management, LLC is an SEC registered investment adviser with its main office in Newport Beach, California and reports $120 million in regulatory assets under management in its Form ADV filed September 16, 2026. Its clients include high net worth individuals, corporations and other businesses and individuals. It is paid through a percentage of assets under management.
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- Registration
- SEC registered investment adviser
- CRD number
- 146786
- SEC file number
- 801-136071
- SEC status
- Approved, effective April 29, 2026
- Main office
- 4041 Macarthur Blvd Suite 400, Newport Beach, CA 92660
- Phone
- (949) 679-3991
- Regulatory AUM
- $119,542,078 in the Form ADV filed September 16, 2026
- Discretionary AUM
- $119,542,078
- Accounts
- 98
- Employees
- 2, of which 2 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management
- Other offices
- 1
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- September 16, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 25 | $103.2 million |
| Corporations or other businesses | 5 | $11.3 million |
| Individuals (other than high net worth individuals) | 15 | $4.7 million |
| Charitable organizations | Fewer than 5 | $346,999 |
Other advisers in Newport Beach
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Tax Efficient Asset Management Solution, Inc. | Newport Beach | $148.3 million | Not listed | adviserinfo.sec.gov |
| Procore Advisors, LLC | Newport Beach | $143.7 million | Not listed | adviserinfo.sec.gov |
| Crystal Cove Asset Management | Newport Beach | $135.2 million | Not listed | adviserinfo.sec.gov |
| Banta Asset Management LP | Newport Beach | $128.7 million | Not listed | adviserinfo.sec.gov |
| Pacific Specialty Investment Group, LLC | Newport Beach | $123.2 million | Not listed | adviserinfo.sec.gov |
| Pariax Private Wealth Management | Newport Beach | $115.4 million | Not listed | adviserinfo.sec.gov |
| Lockerman Financial Group, Inc | Newport Beach | $110.1 million | Not listed | adviserinfo.sec.gov |
| Werlemann Wealth Management | Newport Beach | $110 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Newport Beach, CA
- Investment advisers in California
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving corporations and other businesses
- Triad Investment Management, LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.