SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Tricapital Wealth Management, Inc.
Charlotte, NC
CRD 118788
Firm filing updated March 3, 2026 ·
- $132.7MAssets
- 3Advisory staff
- 192Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals75
- High net worth individuals50
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 75 | $34.9 million |
| High net worth individuals | 50 | $92.3 million |
| Corporations or other businesses not listed above | Fewer than 5 clients | $5.6 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
Assets and accounts
- Regulatory assets$132.7 million
- Accounts192
- Discretionary$127.2 million · 191 accounts
- Non-discretionary$5.5 million · 1 accounts
People
- Employees3
- Advisory staff3
- Broker-dealer reps3
- Licensed insurance agents1
- Planning clients0
Advisors
2 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 118788, SEC file 801-123572.
- Registered with the SEC as an investment advisor (status date on record: March 31, 2022).
Is Tricapital Wealth Management, Inc. a fiduciary?
Short answer: Tricapital Wealth Management, Inc. is registered with the SEC as an investment advisor. Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 3 staff are broker-dealer representatives and the firm is itself a registered representative of a broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
1 staff member is a licensed insurance agent and the firm is itself an insurance broker or agent.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.