TRICOR ADVISORY SERVICES, LLC
CRD #141775 SEC #801-67209 LAS VEGAS, NV 702-254-1263
SEC Registered Disclosures
Total AUM
$137.1M
Discretionary
$29M
Employees
11
Clients
11
Accounts
529
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Nevada
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 9, 2015
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| AGUILAR, FRANK | I | COO, AMLCO | NA | Control |
| AGUILAR, FRANK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| AGUILAR, FRANK | I | COO, AMLCO | NA | Control |
| AGUILAR, FRANK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| AGUILAR, FRANK | I | MANAGING MEMBER | NA | Control |
| AGUILAR, FRANK | I | MANAGING MEMBER | NA | Control |
| AGUILAR, FRANK | I | MANAGING MEMBER | NA | Control |
| AGUILAR, FRANK | I | COO, AMLCO | NA | Control |
| AGUILAR, FRANK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| AGUILAR, FRANK | I | COO, AMLCO | NA | Control |
| AGUILAR, FRANK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| AGUILAR, FRANK | I | COO, AMLCO | NA | Control |
| AGUILAR, FRANK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| AGUILAR, FRANK | I | COO, AMLCO | NA | Control |
| AGUILAR, FRANK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| AGUILAR, FRANK | I | CEO | NA | Control |
| AGUILAR, FRANK | I | CEO/CCO | NA | Control |
| AGUILAR, FRANK | I | CEO/CCO | NA | Control |
| AGUILAR, FRANK | I | CEO | NA | Control |
| AGUILAR, FRANK | I | CEO | NA | Control |
| AGUILAR, FRANK | I | CEO | NA | Control |
| AGUILAR, FRANK | I | CEO | NA | Control |
| AGUILAR, FRANK | I | CEO | NA | Control |
| AGUILAR, FRANK | I | CEO | NA | Control |
| AGUILAR, FRANK | I | CEO/CCO | NA | Control |
| AGUILAR, FRANK | I | CEO/CCO | NA | Control |
| ARCHEY, CLAY, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | |
| ARCHEY, CLAY, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | |
| ARCHEY, CLAY, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | |
| ARCHEY, CLAY, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | |
| ARCHEY, CLAY, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | |
| ARCHEY, CLAY, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | |
| ARCHEY, CLAY, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | |
| DELGADO-SCHUETZE, ELIZABETH | I | DIRECTOR/MANAGER | NA | Control |
| DELGADO-SCHUETZE, ELIZABETH | I | DIRECTOR/MANAGER | NA | Control |
| DELGADO-SCHUETZE, ELIZABETH | I | DIRECTOR/MANAGER | NA | Control |
| DELGADO-SCHUETZE, ELIZABETH | I | DIRECTOR/MANAGER | NA | Control |
| DELGADO-SCHUETZE, ELIZABETH | I | DIRECTOR/MANAGER | NA | Control |
| DELGADO-SCHUETZE, ELIZABETH | I | DIRECTOR/MANAGER | NA | Control |
| DELGADO-SCHUETZE, ELIZABETH | I | DIRECTOR/MANAGER | NA | Control |
| DELGADO-SCHUETZE, ELIZABETH | I | DIRECTOR/MANAGER | NA | Control |
| DELGADO-SCHUETZE, ELIZABETH | I | DIRECTOR/MANAGER | NA | Control |
| DELGADO-SCHUETZE, ELIZABETH | I | DIRECTOR/MANAGER | NA | Control |
| DELGADO-SCHUETZE, ELIZABETH | I | DIRECTOR/MANAGER | NA | Control |
| DELGADO-SCHUETZE, ELIZABETH | I | DIRECTOR/MANAGER | NA | Control |
| DELGADO-SCHUETZE, ELIZABETH | I | DIRECTOR/MANAGER | NA | Control |
| DELGADO-SCHUETZE, ELIZABETH | I | DIRECTOR/MANAGER | NA | Control |
| DELGADO-SCHUETZE, ELIZABETH | I | DIRECTOR/MANAGER | NA | Control |
| DELGADO-SCHUETZE, ELIZABETH | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| GAROFALO, JASON, LEONARD | I | DIRECTOR/MANAGER | NA | Control |
| PASSALACQUA, MATTHEW, GENE | I | CHIEF OPERATING OFFICER/AMLCO | NA | Control |
| PASSALACQUA, MATTHEW, GENE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PASSALACQUA, MATTHEW, GENE | I | CHIEF OPERATING OFFICER/AMLCO | NA | Control |
| PASSALACQUA, MATTHEW, GENE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PASSALACQUA, MATTHEW, GENE | I | CHIEF OPERATING OFFICER/AMLCO | NA | Control |
| PASSALACQUA, MATTHEW, GENE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
| TRICOR FINANCIAL SERVICES, LIMITED | DE | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| GAROFALO, JASON, LEONARD | I | JASON L. GAROFALO, INC. | E | Control |
| SLOVER, CHARLES, DEAN | I | SAWGRASS PARTNERS, LLC | E | Control |
| SLOVER, CHARLES, DEAN | I | SAWGRASS PARTNERS, LLC | E | Control |
| SLOVER, CHARLES, DEAN | I | SAWGRASS PARTNERS, LLC | E | Control |
| SLOVER, CHARLES, DEAN | I | SAWGRASS PARTNERS, LLC | E | Control |
| SLOVER, CHARLES, DEAN | I | SAWGRASS PARTNERS, LLC | E | Control |
| SLOVER, CHARLES, DEAN | I | SAWGRASS PARTNERS, LLC | E | Control |
| SLOVER, CHARLES, DEAN | I | SAWGRASS PARTNERS, LLC | E | Control |
| SLOVER, CHARLES, DEAN | I | SAWGRASS PARTNERS, LLC | E | Control |
| SLOVER, CHARLES, DEAN | I | SAWGRASS PARTNERS, LLC | E | Control |
| SLOVER, CHARLES, DEAN | I | SAWGRASS PARTNERS, LLC | E | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, FRANK | I | NAPACA, INC. | D | Control |
| AGUILAR, PATRICIA, ANN | I | NAPACA, INC. | D | Control |
| AGUILAR, PATRICIA, ANN | I | NAPACA, INC. | D | Control |
| AGUILAR, PATRICIA, ANN | I | NAPACA, INC. | D | Control |
| AGUILAR, PATRICIA, ANN | I | NAPACA, INC. | D | Control |
| AGUILAR, PATRICIA, ANN | I | NAPACA, INC. | D | Control |
| AGUILAR, PATRICIA, ANN | I | NAPACA, INC. | D | Control |
| AGUILAR, PATRICIA, ANN | I | NAPACA, INC. | D | Control |
| AGUILAR, PATRICIA, ANN | I | NAPACA, INC. | D | Control |
| AGUILAR, PATRICIA, ANN | I | NAPACA, INC. | D | Control |
| AGUILAR, PATRICIA, ANN | I | NAPACA, INC. | D | Control |
| AGUILAR, PATRICIA, ANN | I | NAPACA, INC. | D | Control |
| AGUILAR, PATRICIA, ANN | I | NAPACA, INC. | D | Control |
| AGUILAR, PATRICIA, ANN | I | NAPACA, INC. | D | Control |
| AGUILAR, PATRICIA, ANN | I | NAPACA, INC. | D | Control |
| AGUILAR, PATRICIA, ANN | I | NAPACA, INC. | D | Control |
| AGUILAR, PATRICIA, ANN | I | NAPACA, INC. | D | Control |
| AGUILAR, PATRICIA, ANN | I | NAPACA, INC. | D | Control |
| AGUILAR, PATRICIA, ANN | I | NAPACA, INC. | D | Control |
| AGUILAR, PATRICIA, ANN | I | NAPACA, INC. | D | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| JASON L. GAROFALO, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| NAPACA, INC. | DE | TRICOR FINANCIAL SERVICES, LIMITED | C | Control |
| RMC RESTAURANT MANAGEMENT & CONSULTING, LLC | DE | TRICOR FINANCIAL SERVICES, LTD | C | |
| RMC RESTAURANT MANAGEMENT & CONSULTING, LLC | DE | TRICOR FINANCIAL SERVICES, LTD | C | |
| SAWGRASS PARTNERS, LLC | DE | TRICOR FINANCIAL SERVICES, LTD | C | |
| SAWGRASS PARTNERS, LLC | DE | TRICOR FINANCIAL SERVICES, LTD | C | |
| SAWGRASS PARTNERS, LLC | DE | TRICOR FINANCIAL SERVICES, LTD | C | |
| SAWGRASS PARTNERS, LLC | DE | TRICOR FINANCIAL SERVICES, LTD | C | |
| SAWGRASS PARTNERS, LLC | DE | TRICOR FINANCIAL SERVICES, LTD | C | |
| SAWGRASS PARTNERS, LLC | DE | TRICOR FINANCIAL SERVICES, LTD | C | |
| SAWGRASS PARTNERS, LLC | DE | TRICOR FINANCIAL SERVICES, LTD | C | |
| SAWGRASS PARTNERS, LLC | DE | TRICOR FINANCIAL SERVICES, LTD | C |
Registrations
Federal
IA
Dec 9, 2015 REGISTERED
Notice Filings (22)
AK AZ CA CO FL HI IA ID IN LA MA MD MI MT NJ NV NY OH OR TX UT WA
Address
10501 W GOWAN ROADSUITE 260
LAS VEGAS, NV 89129
United States
Phone: 702-254-1263