Carl J. Tricoli

DENHAM CAPITAL MANAGEMENT LP

HOUSTON, TX 77002

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CRD#: 1946935

Professional summary

Carl John Tricoli is a registered financial advisor currently at DENHAM CAPITAL MANAGEMENT LP located in Houston, Texas.

Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Carl has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl John Tricoli's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 19, 2015 - Present

DENHAM CAPITAL MANAGEMENT LP

Office #1: 700 Louisiana Street Suite 3700, Houston, TX 77002

RIA

CRD#: 156605

HOUSTON, TX

Past

August 4, 1993 - July 11, 1996

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

April 20, 1989 - August 4, 1993

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DENHAM CAPITAL MANAGEMENT LP

DENHAM CAPITAL ASIA PACIFIC PTE. LTD. | DENHAM CAPITAL MANAGEMENT LP | DENHAM CAPITAL MANAGEMENT (UK) LLP | DENHAM CAPITAL LATIN AMERICA LTDA. | DENHAM CAPITAL AUSTRALIA PTY LTD

CRD#: 156605 / SEC#: 801-73614

RIA

Registered Investment Advisory firm - (3/16/2012 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(5/19/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/3/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/17/1989

General Securities Representative Examination

Current Firm

DENHAM CAPITAL MANAGEMENT LP

DENHAM CAPITAL ASIA PACIFIC PTE. LTD. | DENHAM CAPITAL MANAGEMENT LP | DENHAM CAPITAL MANAGEMENT (UK) LLP | DENHAM CAPITAL LATIN AMERICA LTDA. | DENHAM CAPITAL AUSTRALIA PTY LTD

CRD#: 156605 / SEC#: 801-73614

RIA

Registered Investment Advisory firm - (3/16/2012 Approved)

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Contact information

Main Address

185 Dartmouth Street 7th Floor, Boston, MA 02116

Mailing Address

Phone number

(617) 531-7200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

DENHAM CAPITAL MANAGEMENT LP - BROCHURE - MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	13
AUM (Assets Under Management)	$ 5,724,623,163

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/24/2024	Cover Page	Report
01/17/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Carl J. Tricoli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl John Tricoli's CRS (Customer Relationship Summary).

Certified licenses

Experience

DENHAM CAPITAL MANAGEMENT LP

BANC OF AMERICA SECURITIES LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

DENHAM CAPITAL MANAGEMENT LP

State Registrations and Notice Filings

Exams

Series 63

Date: 7/3/1989

Series 7

Date: 6/17/1989

Current Firm

DENHAM CAPITAL MANAGEMENT LP

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DENHAM CAPITAL MANAGEMENT LP

TRUST BUT VERIFY

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