Tribeca Financial, Llc
- Regulatory AUM
- $248M
- Discretionary
- $180M
- Clients
- 248
- Avg AUM / client
- $1.0M
- Accounts
- 574
- Employees
- 6
AUM over time
Annual snapshots from Form ADV filings · as of Mar 17, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 160 | $37.5M | 15.1% |
| High net worth individuals | 59 | $144M | 57.9% |
| Pension and profit sharing plans | 14 | $26.2M | 10.6% |
| Charitable organizations | 1 | $30.6K | 0.01% |
| Other investment advisers | 4 | $5.6M | 2.27% |
| Corporations and other businesses | 10 | $35.1M | 14.1% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Temcon Concrete Construction Company 401(k) Plan Temcon Concrete Construction Company | 2024 |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Ryan J Ricedorff | Chief Compliance Officer | CFP | Apr 2007 (19y) | 75% or more |
| Christopher Murphy Rich | Registered representative | CFP | Jan 2012 (15y) | |
| Christopher Paul Roozendaal | Registered representative | Jan 2012 (15y) | ||
| Kevin Dean Shorts | Registered representative | Jan 2012 (15y) | ||
| James Arthur Schmidt | Registered representative | Personal Financial Specialist | Mar 2022 (4y) | |
| Chason Glenn Hawkins | Registered representative | Feb 2024 (2y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Ricedorff Financial Services, Llc | Owner | Apr 2022 | A | 75% or more |
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 |
|---|---|---|---|---|
| Temcon Concrete Construction Company 401(k) Plan | Temcon Concrete Construction Company | 0 | $0 | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/17/2026 | 1.14 MB | 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
- • Other fees
- • REFERRAL FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $208M (84% of AUM) Mar 2026
- Fidelity Brokerage Services $36.8M (21% of AUM) May 2022
- Scottrade, Inc. $14.4M (10% of AUM) Mar 2018
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: Mar 17, 2026.
View current Form ADV (SEC/IAPD) ↗