Brian J. Dalton

TRICAPITAL WEALTH MANAGEMENT

Charlotte, NC 28210

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CRD#: 7130831

Professional summary

Brian Jeffrey Dalton, CFP®, who also goes by Brian Dalton, is a registered financial advisor currently at TRICAPITAL WEALTH MANAGEMENT, INC. located in Charlotte, North Carolina and OSAIC WEALTH, INC. located in Charlotte, North Carolina.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Brian has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Dalton

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.

1)TriCapital Wealth Management;investment related;6115 Park South Dr,Ste 330,Charlotte,NC 28210;S-corp;registered admin;3/19/2024;160 hrs/month;130 hrs during trading;assist in financial planning,trade execution,administration of plans,and helping with other financial matters that may come up

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Jeffrey Dalton'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®

CFP^®

Certified Financial Planner

Experience

Current

April 16, 2024 - Present

TRICAPITAL WEALTH MANAGEMENT, INC.

Office #1: Three South Executive Park 6115 Park South Drive, Suite 330, Charlotte, NC 28210

RIA

CRD#: 118788

Charlotte, NC

Current

August 23, 2024 - Present

OSAIC WEALTH, INC.

Office #1: Three South Executive Park 6115 Park South Drive, Suite 330, Charlotte, NC 28210

RIA

CRD#: 23131

Charlotte, NC

Past

April 2, 2024 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

Charlotte, NC

Past

August 16, 2019 - April 1, 2024

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Charlotte, NC

Past

July 25, 2019 - April 1, 2024

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

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".

TRICAPITAL WEALTH MANAGEMENT, INC.

TRICAPITAL FINANCIAL GROUP, INC. | TRICAPITAL WEALTH MANAGEMENT, INC.

CRD#: 118788 / SEC#: 801-123572

RIA

Registered Investment Advisory firm - (3/31/2022 Approved)

North Carolina

Registered Investment Advisory firm - (4/11/2022 Terminated)

South Carolina

Registered Investment Advisory firm - (4/8/2022 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

North Carolina
(4/16/2024)

North Carolina
(8/23/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/8/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/25/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/27/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

TRICAPITAL WEALTH MANAGEMENT, INC.

TRICAPITAL FINANCIAL GROUP, INC. | TRICAPITAL WEALTH MANAGEMENT, INC.

CRD#: 118788 / SEC#: 801-123572

RIA

Registered Investment Advisory firm - (3/31/2022 Approved)

North Carolina

Registered Investment Advisory firm - (4/11/2022 Terminated)

South Carolina

Registered Investment Advisory firm - (4/8/2022 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2016 Terminated)

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Contact information

Main Address

Three South Executive Park 6115 Park South Drive, Suite 330, Charlotte, NC 28210

Mailing Address

Phone number

(704) 571-8778

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	178
AUM (Assets Under Management)	$ 118,748,487

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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Advisor Monitoring

Firm Stability Insights

Brian J. Dalton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Jeffrey Dalton's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

TRIAD ADVISORS LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

TRICAPITAL WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/8/2019

Series 7TO

Date: 7/25/2019

SIE

Date: 6/27/2019

FINRA

Current Firm

TRICAPITAL WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRICAPITAL WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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