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TRIFECTA CAPITAL ADVISORS, LLC

NORTHBROOK, IL · CRD 317391 · IAPD ↗ · 1-847-495-2464

$927.4MRegulatory AUM
3Advisory reps
3Employees
0Clients
0Planning clients
0Private funds
10States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

64
April 2026 — TRIFECTA CAPITAL ADVISORS, LLC reported RAUM up 30% ($712.2M -> $927.4M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
49
August 2025 — TRIFECTA CAPITAL ADVISORS, LLC notice-filed in CO, MI, NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
63
April 2025 — TRIFECTA CAPITAL ADVISORS, LLC reported RAUM up 25% ($567.6M -> $712.2M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
70
April 2025 — TRIFECTA CAPITAL ADVISORS, LLC grew from 1 to 3 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
45
July 2024 — TRIFECTA CAPITAL ADVISORS, LLC notice-filed in SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
March 2024 — TRIFECTA CAPITAL ADVISORS, LLC notice-filed in WI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
March 2024 — TRIFECTA CAPITAL ADVISORS, LLC shrank from 3 to 1 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
68
March 2024 — TRIFECTA CAPITAL ADVISORS, LLC now reports custody of client assets ($357.8M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
March 2024 — TRIFECTA CAPITAL ADVISORS, LLC crossed $500M in regulatory AUM ($407.3M -> $567.6M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.