Tran Capital Management, L.P.
- Regulatory AUM
- $890M
- Discretionary
- $874M
- Clients
- 348
- Avg AUM / client
- $2.6M
- Accounts
- 348
- Employees
- 7
AUM over time
Annual snapshots from Form ADV filings · as of Feb 23, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 215 | $203M | 22.8% |
| High net worth individuals | 78 | $343M | 38.5% |
| Investment companies | 1 | $24.6M | 2.76% |
| Pension and profit sharing plans | 4 | $13.5M | 1.51% |
| Charitable organizations | 17 | $167M | 18.7% |
| Corporations and other businesses | 14 | $123M | 13.8% |
| Other | 19 | $16.5M | 1.85% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Western Growers Retirement Security Plan Western Growers Association | 2024 |
People (3)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Tran, Quoc, Kinh | Chairman And Chief Investment Officer, Managing Partner | Jan 2007 (20y) | ≈ 25% – 56.25% via Tran Capital Management, Llc | |
| Winterhalter, Eric, Arthur | President And Chief Compliance Officer, Managing Partner | Dec 2014 (12y) | ≈ 12.5% – 37.5% via Tran Capital Management, Llc | |
| Im, Michael | Partner And Director Of Research | Jun 2020 (6y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Tran Capital Management, Llc | Limited Partner | May 2017 | A | 50% – 75% |
| Tran Capital Mgl, Llc | Limited Partner | May 2017 | A | 25% – 50% |
| Tran Capital General Partner, Llc | General Partner | May 2017 | A | Less than 5% |
| Mccarthy Group, Llc | Partner Limited Liability | Jan 2007 | B | ≈ 18.75% – 50% via Tran Capital Mgl, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Tran, Quoc, Kinh: 50% – 75% of Tran Capital Management, Llc × 50% – 75% direct ≈ 25% – 56.25% of the firm
- Winterhalter, Eric, Arthur: 25% – 50% of Tran Capital Management, Llc × 50% – 75% direct ≈ 12.5% – 37.5% of the firm
- Mccarthy Group, Llc: 75% – 100% of Tran Capital Mgl, Llc × 25% – 50% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Western Growers Retirement Security Plan | Western Growers Association | 1,566 | $145M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/23/2026 | 1020 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Fidelity Brokerage Services $233M (26% of AUM) Feb 2026
- Morgan Stanley $215M (28% of AUM) Mar 2019
- BNY Mellon $194M (25% of AUM) Mar 2019
- Charles Schwab & Co. $165M (19% of AUM) Feb 2026
- First Financial Trust $101M (11% of AUM) Feb 2026
- RBC $91.5M (10% of AUM) Jun 2020
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 23, 2026.
View current Form ADV (SEC/IAPD) ↗