SourcingSourcing

TRIBECA FINANCIAL, LLC

C47
CRD 113245·SEC 801-60441·MESA, AZ
AUM
$248.3M
$100M-$500M
Est. Revenue
$2.5M
@ 1% on AUM
Est. EBITDA
$745K
@ 30% margin
Est. Deal Value
$6.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
TRIBECA FINANCIAL, LLC
CRD
113245
SEC file #
801-60441
EIN
—
DBA names
—

Economics

AUM
$248.3M
AUM band
$100M-$500M
AUM trajectory
'20'26
$172.8M → $248.3M▲ +44%
Client mix
Individuals Other160
Individuals High Net Worth59
Pension Profit Sharing Plans14
Corporations10
Other Investment Advisers4

Operations

Employees (total)
6
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'20'26
7 advisors → 5 advisors▼ -29%
Primary office
MESA AZ
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesOther Advisory Services
Fee basis
% of AUMOther Compensation

Filings

Latest ADV filing
03/17/2026
ADV-W filed at
—
Website
tribecafinancial.co

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
HAWKINS FINANCIAL SERVICES, LLC
Top Owner Pct
62.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
HAWKINS FINANCIAL SERVICES, LLC
RICEDORFF FINANCIAL SERVICES, LLC
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
5,615
Form 5500 Compensation Trajectory 3y
20255,615
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
5,615
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (8)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
6
Bc Firm IAR Count
6
Custodian Candidates
Full
Charles Schwab6
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Trust Company Affiliate
No

People (6)

6
RICEDORFF, RYAN, J
IAR · Direct Owner · 62.5%
4547584
CHRISTOPHER PAUL ROOZENDAAL
IAR
3227076
JAMES ARTHUR SCHMIDT
IAR
4054134
KEVIN DEAN SHORTS
IAR
5605051
CHRISTOPHER MURPHY RICH
IAR
2257263
CHASON GLENN HAWKINS
IAR
4491081