Tricord Advisors, Inc.
- Regulatory AUM
- $432M
- Discretionary
- $432M
- Clients
- 552
- Avg AUM / client
- $782K
- Accounts
- 1,377
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 240 | $32.5M | 7.54% |
| High net worth individuals | 290 | $375M | 86.9% |
| Pension and profit sharing plans | 13 | $11.8M | 2.73% |
| Charitable organizations | 1 | $1.8M | 0.42% |
| Corporations and other businesses | 8 | $10.6M | 2.45% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Joseph Francis Lyons | Secretary | CFP | Oct 2010 (16y) | 10% – 25% |
| Christopher Mark Marsh | Chief Compliance Officer | CFP | Jan 2018 (9y) | Less than 5% |
| Laura Elizabeth Barkley | Financial Planner | Aug 2023 (3y) | Less than 5% | |
| Jeremiah J Lee | Chief Executive Officer | Dec 2023 (3y) | 75% or more | |
| Randy King Barkley | Chief Growth Officer | CFP | Dec 2023 (3y) | Less than 5% |
| Lesley Garduno Hernandez | Registered representative | May 2026 (0y) |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 968 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
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $402M (93% of AUM) Mar 2026
- Asset Mark $23.8M (14% of AUM) Mar 2023
- Assetmark Brokerage, Llc $17.2M (4% of AUM) Mar 2026
- Nationwide Securities, Llc $5.5M (1% of AUM) Mar 2026
- Jefferson National Securities Corporation $5.1M (4% of AUM) Jun 2018
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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 30, 2026.
View current Form ADV (SEC/IAPD) ↗