Wealth manager, wrap-program sponsor · Charlotte, NC
Tricapital Wealth Management, Inc.
SEC-registered investment adviser · CRD 118788 · SEC 801-123572
At a glance
Tricapital Wealth Management, Inc. is an SEC-registered investment adviser based in Charlotte, North Carolina, with $133 million in regulatory assets under management as of its Form ADV filed March 3, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 125 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 7,340th of 8,915 wealth managers and 14,271st of 17,210 SEC-registered advisers by assets.
Main office 704-571-8778tricapitalwealthmanagement.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $133M
- Rank among wealth managers
- #7,340 of 8,915
- Rank among all SEC RIAs
- #14,271 of 17,210
- Rank in North Carolina
- #254 of 288
- Individual clients
- 125
- High-net-worth clients
- 50
- Accounts
- 192
- Discretionary
- 96% of AUM
- Employees
- 3
- Advisory staff
- 3
- Offices
- 1
Owners and executives on its Form ADV
- Randall E. WhitePresident/chief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Tricapital Wealth Management, Inc. is a hybrid RIA: 3 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Osaic Wealth as the broker-dealer its advisers are registered with.
In this program, a registered representative of Osaic, who may also be an IAR of TCWM, is responsible for the investment decisions in the portfolio and for monitoring the returns and investments in the portfolio so it is appropriate for the
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 50 | $92M | 70% |
| Individuals | 75 | $35M | 26% |
| Corporations or other businesses | – | $6M | 4% |
Disciplinary disclosures
Tricapital Wealth Management, Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Hourly charges
Form ADV and brochures on the SEC’s adviser search ↗tricapitalwealthmanagement.com ↗
AtlasMembers
The full record on Tricapital Wealth Management, Inc.
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, 3 years of filings
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- Growth over one, three and five years
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- Rank against 5,083 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Tricapital Wealth Management, Inc. manage?
Tricapital Wealth Management, Inc. reports $133 million in regulatory assets under management across 192 accounts, 96% of it on a discretionary basis, on its Form ADV filed March 3, 2026.
What kind of firm is Tricapital Wealth Management, Inc.?
Tricapital Wealth Management, Inc. 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 Tricapital Wealth Management, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($92 million, 50 clients); individuals ($35 million, 75 clients); corporations or other businesses ($6 million).
Does Tricapital Wealth Management, Inc. have any disciplinary history?
Tricapital Wealth Management, Inc. 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 Tricapital Wealth Management, Inc.’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 (2026-03-03), 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 →