TRI-AD CAPITAL MANAGEMENT, INC.
CRD #109687 SEC #801-108470 ESCONDIDO, CA 760-743-7555
SEC Registered
Total AUM
$448.9M
Discretionary
$5.7M
Employees
5
Clients
0
Accounts
52
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 16, 2022
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| Simons, Judy, Ann | I | CHIEF COMPLIANCE OFFICER | NA | |
| Simons, Judy, Ann | I | CHIEF COMPLIANCE OFFICER | NA | |
| Simons, Judy, Ann | I | CHIEF COMPLIANCE OFFICER | NA | |
| Simons, Judy, Ann | I | CHIEF COMPLIANCE OFFICER | NA | |
| Simons, Judy, Ann | I | CHIEF COMPLIANCE OFFICER | NA | |
| Simons, Judy, Ann | I | CHIEF COMPLIANCE OFFICER | NA | |
| Simons, Judy, Ann | I | CHIEF COMPLIANCE OFFICER | NA | |
| Simons, Judy, Ann | I | CHIEF COMPLIANCE OFFICER | NA | |
| Simons, Judy, Ann | I | CHIEF COMPLIANCE OFFICER | NA | |
| Simons, Judy, Ann | I | CHIEF COMPLIANCE OFFICER | NA | |
| HAMILTON, CURTIS, DUANE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| HAMILTON, CURTIS, DUANE | I | PRESIDENT | E | Control |
| HAMILTON, CURTIS, DUANE | I | PRESIDENT | E | Control |
| HAMILTON, CURTIS, DUANE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| HAMILTON, CURTIS, DUANE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| HAMILTON, CURTIS, DUANE | I | PRESIDENT | E | Control |
| HAMILTON, CURTIS, DUANE | I | PRESIDENT | E | Control |
| HAMILTON, CURTIS, DUANE | I | PRESIDENT | E | Control |
| HAMILTON, CURTIS, DUANE | I | PRESIDENT | E | Control |
| HAMILTON, CURTIS, DUANE | I | PRESIDENT | E | Control |
| HAMILTON, CURTIS, DUANE | I | PRESIDENT | E | Control |
| HAMILTON, CURTIS, DUANE | I | PRESIDENT | E | Control |
| HAMILTON, CURTIS, DUANE | I | PRESIDENT | E | Control |
| HAMILTON, CURTIS, DUANE | I | PRESIDENT | E | Control |
| HAMILTON, CURTIS, DUANE | I | PRESIDENT | E | Control |
Registrations
Federal
IA
Mar 16, 2022 REGISTERED
Notice Filings (3)
AZ CA TX
Address
221 W CREST STREET, SUITE 300ESCONDIDO, CA 92025
United States
Phone: 760-743-7555