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TRIBECA FINANCIAL, LLC
CRD 113245File 801-60441
APPROVED
Retail clients
Filing as of Mar 17, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$248.3M
Below cohort median (national)
Discretionary AUM
$180.2M
Non-discretionary $68.1M
Clients
248
574 accounts
Employees
6
Below cohort median in AZ
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Jul 27, 2001
- Principal office
- 2812 N. NORWALK, STE 103, MESA, AZ, 85215
- Phone
- 480-553-6247
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $248.3M
- Discretionary AUM
- $180.2M
- Non-discretionary AUM
- $68.1M
- Discretionary accounts
- 394
- Non-discretionary accounts
- 180
- Total accounts
- 574
- AUM per client
- $1.0M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 10 | $35.1M |
| Charitable organizations | Fewer than 5 | $31K |
| Other investment advisers | Fewer than 5 | $5.6M |
| High net worth individuals | 59 | $143.8M |
| Pension and profit sharing plans | 14 | $26.2M |
| Individuals (other than high net worth individuals) | 160 | $37.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Other (described) — REFERRAL FEES
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 243 | 248 | increased by5 |
| Apr 1, 2026 | AUM | $202,643,084 | $248,321,387 | increased by$45,678,303 |
| Apr 1, 2026 | Accounts | 531 | 574 | increased by43 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 5 | 6 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 248 | 243 | decreased by5 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $172,313,544 | $202,643,084 | increased by$30,329,540 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 482 | 531 | increased by49 |
| Apr 1, 2022 | Employees | 6 | 5 | decreased by1 |
| Apr 1, 2022 | Clients | 270 | 248 | decreased by22 |
| Apr 1, 2022 | AUM | $150,613,591 | $172,313,544 | increased by$21,699,953 |
| Apr 1, 2022 | Accounts | 359 | 482 | increased by123 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “TRIBECA FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“TRIBECA FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.