CRD: 146786
Triad Investment Management, LLC
$119.5M Total AUM
$119.5M Disc. AUM
15.8% 3Y CAGR
2 Employees
45 ADV. Clients
18 yrs Firm Age
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- Custodian
- Bank OF America · Deutsche Bank · Fidelity/NFS
- Clients
- Retail and Institutional
- Platforms
- Available
- Established Date
- 04-14-2008
- Office Locations
- 1
Office Locations
1301 Dove Street Suite 1080 Newport Beach CA
About Triad Investment Management, LLC
Triad Investment Management, LLC is a boutique Newport Beach, CA RIA serving pre-retirees, retirees, and business owners. The team focuses on retirement income planning alongside tax strategy and legacy/estate planning, with hands-on guidance through a structured assessment process. Portfolios emphasize asset allocation using ETFs and index-oriented funds with an eye toward tax efficiency.
Team overview
52 AVG AGE
$59.8M AVG AUM / ADVISOR
$2.7M AVG AUM / CLIENT
15.9 yrs AVG TENURE
2 Employees
2 Advisory Reps
2 RIA Reps
18yrs Firm Age
Insights
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Asset Classes
Available
Client Personas
Available
Investment Themes
Available
Investment Vehicles
Available
Services
Available
Technology
Available
Owner & Executives
JOHN EDWARD HELDMAN
Partner
- CRD
- #3276168
- Ownership
- Less than 5%
Available
Available
Available
DAVID MICHAEL HUTCHISON
Chief Compliance Officer, Partner
- CRD
- #2602539
- Ownership
- Less than 5%
Available
Available
Available
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Total AUM
Discretionary
Non-Discretionary
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $119,542,078 | $1,219,817 |
| Non-Discretionary | $0 | -- |
| Total | $119,542,078 | $1,219,817 |
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Separately Managed Accounts
Total SMA Asset: Available
Equity - Exchange:
Available Public Funds:
Available Cash:
Available Corporate - Non-Investment Grade:
Available | Asset class | Assets | Assets % |
|---|---|---|
| Equity - Exchange | Available | Available |
| Public Funds | Available | Available |
| Cash | Available | Available |
| Corporate - Non-Investment Grade | Available | Available |
| Total | Available | Available |
13F Holdings | Q2 2026
| Issuer | Class | CUSIP | Ticker | % | Value |
|---|---|---|---|---|---|
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
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