Wealth manager, independent · SAN Rafael, CA
Tran Capital Management, L.P.
SEC-registered investment adviser · CRD 107049 · SEC 801-9747
At a glance
Tran Capital Management, L.P. is an SEC-registered investment adviser based in SAN Rafael, California, with $890 million in regulatory assets under management as of its Form ADV filed February 23, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 293 individual clients. By Form ADV it is a wealth manager, ranked 1,733rd of 8,915 wealth managers and 5,751st of 17,210 SEC-registered advisers by assets.
Main office 415-461-3800trancapital.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $890M
- Rank among wealth managers
- #1,733 of 8,915
- Rank among all SEC RIAs
- #5,751 of 17,210
- Rank in California
- #664 of 1,873
- Individual clients
- 293
- High-net-worth clients
- 78
- Accounts
- 348
- Discretionary
- 98% of AUM
- Employees
- 7
- Advisory staff
- 3
- Offices
- 1
Owners and executives on its Form ADV
- Quoc K. TranChairman and Chief Investment Officer, Managing Partner
- Eric A. WinterhalterPresident and Chief Compliance Officer, Managing Partner
- Michael ImPartner and Director of Research
Custody and brokerage
Broker-dealer
Hybrid RIA
Tran Capital Management, L.P. is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed February 2026) names Foreside Funds Distributors as the broker-dealer its advisers are registered with.
ITEM 10 – OTHER FINANCIAL INDUSTRY ACTIVITIES AND AFFILIATIONS Certain employees are registered representatives of Foreside Funds Distributors, LLC (“Foreside”), a registered broker dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 78 | $343M | 39% |
| Individuals | 215 | $203M | 23% |
| Charitable organizations | 17 | $167M | 19% |
| Corporations or other businesses | 14 | $123M | 14% |
| Investment companies | 1 | $25M | 3% |
| Other | 19 | $16M | 2% |
| Pension and profit sharing plans | 4 | $13M | 2% |
Disciplinary disclosures
Tran Capital Management, L.P. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for investment companies
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗trancapital.com ↗
AtlasMembers
The full record on Tran Capital Management, L.P.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 3,828 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Tran Capital Management, L.P. manage?
Tran Capital Management, L.P. reports $890 million in regulatory assets under management across 348 accounts, 98% of it on a discretionary basis, on its Form ADV filed February 23, 2026.
What kind of firm is Tran Capital Management, L.P.?
Tran Capital Management, L.P. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Tran Capital Management, L.P.’s clients?
By assets, its largest client types are high-net-worth individuals ($343 million, 78 clients); individuals ($203 million, 215 clients); charitable organizations ($167 million, 17 clients).
Does Tran Capital Management, L.P. have any disciplinary history?
Tran Capital Management, L.P. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Tran Capital Management, L.P.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-02-23), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →