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Dave + Hutchison - Financial Advisor in Newport Beach, CA

Paladin Research Report For:

Triad Investment Management, LLC

1301 Dove Street
Suite 1080
Newport Beach, CA 92660
949-381-7614

General Information

Firm Start Year
  • 2008
No.of Employees
  • 2-4
CRD#
  • 2602539
Firm CRD#
  • 146786
Name of Custodial Firm
  • Fidelity Institutional Wealth Services
Years of Experience in Financial Services
  • 26
Number of Years with Current Firm
  • 8
Work Experience
  • 2013-present: Triad Investment Management, Partner 2009-2013: Chamberlain Group, Investment Strategist 2005-2009: Hutchison Capital, Founding Partner 2000-2005: Insight Capital Research & Management, Senior Equity Analyst
Work with the following types of clients
  • Businesses, Individual Investors, Non-Profit Organizations
Advisory Services Provided
  • Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Investment Advice & Management, Financial Advice & Consulting, Portfolio Management, Financial Planning, Financial Planning for Individuals

Compliance

Registered Investment Advisor
  • Yes
Investment Advisor Representative
  • Yes
Acknowledged fiduciary
  • Yes
Compliance Disclosures in Last 5 years
  • Have a clean record
Criminal Disclosures in Last 5 years
  • Have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations
  • CFA®
Financial Organization Memberships
  • CFA Institute

Firm Information

Firm's Number of Clients
  • 25
Firm's Number of Planning Clients
  • 0
Firm's Number of Managed Clients
  • 25
Assets Managed by Firm
  • $120 million
Advisor's Number of Clients
  • 25
Advisor's Number of Managed Clients
  • 25
Advisor's Number of Planning Clients
  • 0
Assets Managed by Advisor
  • $120 million

Compensation and Fees

Fee Structure
  • Fee-Only
Minimum Portfolio Size for New Managed Accounts
  • $500000
Compensation Methods
  • Based on Assets
Fee % Based on Assets
  • 100

Education

B.A. - Political Science
  • Macalester College
    August 1989 - May 1993
MBA - Investment Management
  • University of Southern California
    August 1998 - May 2000

Disclosures

https://reports.adviserinfo.sec.gov/reports/ADV/146786/PDF/146786.pdf

Disclaimer

Triad Investment Management, LLC is a registered investment adviser with the Securities and Exchange Commission, is notice filed in its home state, and may be notice filed in various other states. Triad Investment Management, LLC may only transact business or render personalized investment advice in those states and international jurisdictions where we are registered, notice filed, or where we qualify for an exemption or exclusion from registration requirements. The purpose of this web site is to provide general information on our products and services only and should not be construed as a solicitation to effect, or attempt to effect, either transactions in securities or the rendering of personalized investment advice over the Internet. Any communications with prospective clients residing in states or international jurisdictions where Triad Investment Management, LLC and its advisory affiliates are not registered or licensed shall be limited so as not to trigger registration or licensing requirements.

BASIC INFORMATION NEEDED FOR THE INQUIRY