SourcingSourcing

TRICAPITAL WEALTH MANAGEMENT, INC.

B53
CRD 118788·SEC 801-123572·CHARLOTTE, NC
AUM
$132.7M
$100M-$500M
Est. Revenue
$1.3M
@ 1% on AUM
Est. EBITDA
$398K
@ 30% margin
Est. Deal Value
$3.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
TRICAPITAL WEALTH MANAGEMENT, INC.
CRD
118788
SEC file #
801-123572
EIN
—
DBA names
—

Economics

AUM
$132.7M
AUM band
$100M-$500M
AUM trajectory
'23'26
$101.3M → $132.7M▲ +31%
Client mix
Individuals Other75
Individuals High Net Worth50

Operations

Employees (total)
3
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'23'26
2 advisors → 3 advisors▲ +50%
Primary office
CHARLOTTE NC
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUMHourly charges

Filings

Latest ADV filing
03/03/2026
ADV-W filed at
—
Website
tricapitaladvisors.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
WHITE, RANDALL, EUGENE
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
WHITE, RANDALL, EUGENE
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
TRICAPITALADVISORS.COM
Rdap Domain Creation Date
1999-09-01T19:44:31Z
Rdap Firm Age Years
27
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
3
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
E*trade4
Fidelity2
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-09-01T19:44:31Z
Rdap Domain Last Changed
2024-07-03T06:38:13Z
Rdap Nameservers
Ns1.bdm.microsoftonline.comNs2.bdm.microsoftonline.comNs3.bdm.microsoftonline.comNs4.bdm.microsoftonline.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
2182519
Trust Company Affiliate
No

People (3)

3
WHITE, RANDALL, EUGENE
IAR · Direct Owner · 87.5%
2182519
BRIAN Jeffrey DALTON
IAR
7130831
William Vance Smith
IAR
7750406