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JT

Jennifer Thomas

TRI-AD CAPITAL MANAGEMENT I
ESCONDIDO, CA 92025
Some features on this profile are disabled
CRD#: 6006899
JT

Professional summary

Jennifer Thomas, AIF® is a registered financial advisor currently at TRI-AD CAPITAL MANAGEMENT I, LLC located in Escondido, California.

Jennifer is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Jennifer has worked at 2 firms and has passed the Series 65 exam.

top-8-questions

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 Jennifer Thomas's CRS (Customer Relationship Summary).
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®
AIF®

Accredited Investment Fiduciary

Experience

Current

February 23, 2023 - Present

TRI-AD CAPITAL MANAGEMENT I, LLC

Office #1: 221 W. Crest St., Ste. 300, Escondido, CA 92025
RIA
CRD#: 324364
ESCONDIDO, CA
Past

February 17, 2012 - May 2, 2023

TRI-AD CAPITAL MANAGEMENT, INC.

RIA
CRD#: 109687
ESCONDIDO, CA

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".
TC
TRI-AD CAPITAL MANAGEMENT I, LLC
TRI-AD CAPITAL MANAGEMENT I, LLC

CRD#: 324364 / SEC#: 801-127335

RIA
Registered Investment Advisory firm - (2/21/2023 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
Arizona
(5/1/2023)
IAR
California
(2/23/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/16/2012
Uniform Investment Adviser Law Examination

Current Firm

TC
TRI-AD CAPITAL MANAGEMENT I, LLC
TRI-AD CAPITAL MANAGEMENT I, LLC

CRD#: 324364 / SEC#: 801-127335

RIA
Registered Investment Advisory firm - (2/21/2023 Approved)
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Contact information

Main Address
221 W. Crest St., Ste. 300, Escondido, CA 92025
Mailing Address
Phone number
(760) 743-7555
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TRI-AD ADV 2A (4/24/2025)

Regulatory assets under management

Total Number of Accounts54
AUM (Assets Under Management)$ 463,362,428

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.

Company Information

TRI-AD CAPITAL MANAGEMENT I, LLC

CRD#: 324364Escondido, CA 92025

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