RIA profile

Triad Investment Management, LLC

NEWPORT BEACH, CACRD 146786Registration Status: ApprovedEffective since April 29, 2026SEC # 801-136071Latest Form ADV September 16, 2026
Assets Under Management
$120M
Employees
2
Offices
2 offices
Total Clients
45

Triad Investment Management, LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in Newport Beach, CA. Its latest Form ADV filing, dated September 16, 2026, reports $120M in regulatory assets under management, 2 employees, 2 offices, and 98 accounts.

Associated firm names

1 name listed
  • TRIAD INVESTMENT MANAGEMENT, LLC

Leadership

1 roles identified
CCODavid M. Hutchison

Advisory services offered

2 types reported
Financial Planning Services
Portfolio management for individuals and small businesses

Fee models offered

1 types reported
Asset based fees

Offices & Contact

Primary office

NEWPORT BEACH, California, United States

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Primary office regionOther reported regions
California

NEWPORT BEACHPrimary office

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

1 office records listed · 2 total offices reported. 1 additional office addresses are undisclosed and are not mapped. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$120Mas of September 16, 2026
Discretionary100.0%
$120M
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.

Client Coverage Demographics

Top client segmentHNWI represent 55.6% of total clients.
Top client categories% of clientsClients
1
HNWI
55.6%
25
2
Individuals
33.3%
15
3
Corporations
11.1%
5
Categories with <5 clients
Charitable Organizations<5 clients

Assets Under Management

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$120M
Total Accounts98
10Y AUM Change$-644K (-0.5%)

Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees2
Clients per Employee23:1
10Y Employee Change0 (0.0%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.

Private Funds

Private funds reported by Triad Investment Management, LLC

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Custodians

Reported custodian relationships by Triad Investment Management, LLC

  • NATIONAL FINANCIAL SERVICES LLC

    $119,542,078

These custodians are disclosed for separately managed accounts under Form ADV’s 10% reporting threshold. This is not a complete list of custodians for all client assets.


Ownership

Reported direct and indirect relationships by Triad Investment Management, LLC

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
HELDMAN FAMILY TRUST U/A 6/16/2011Direct owner · Schedule AInterest in TRIAD INVESTMENT MANAGEMENT, LLC
75%+
THE DAVID AND BROOKE HUTCHISON FAMILY TRUST ESTABLISHED JULY 25, 2018Direct owner · Schedule AInterest in TRIAD INVESTMENT MANAGEMENT, LLC
10% to < 25%
JOHN EDWARD HELDMANDirect owner · Schedule AInterest in TRIAD INVESTMENT MANAGEMENT, LLC
< 5%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Triad Investment Management, LLC.

Reported ownership and control details

8 entries

Compliance & Disclosures

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix database. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.