About Triad Investment Management, LLC

Triad's mission is help you define and progress toward your goals for your family's financial future. You don't have to have all the answers, and you could use someone in your corner providing straightforward, unbiased advice. A fiduciary, not a salesperson. With follow-through to help make sure your plans happen. It's our view that investor outcomes are driven to a significant degree by investor behavior.

General Information Years of Experience in Financial Services:    26 Gender:    Male SEC File#:    801-68966 CRD#:    2602539 Work Experience:    2013-present: Triad Investment Management, Partner 2009-2013: Chamberlain Group, Investment Strategist 2005-2009: Hutchison Capital, Founding Partner 2000-2005: Insight Capital Research & Management, Senior Equity Analyst Firm CRD#:    146786 Name of Custodial Firm:    Fidelity Institutional Wealth Services Number of Years with Current Firm:    8 Work with the following types of clients:    Businesses, Individual Investors, Non-Profit Organizations States Willing to do Business in:    Aliso Viejo,Anaheim,Artesia,Bellflower,Brea,Buena Park,Capistrano Beach,Cerritos,Chino Hills,Corona,Costa Mesa,Cypress,Dana Point,Foothill Ranch,Fountain Valley,Fullerton,Garden Grove,Hawaiian Gardens,Huntington Beach,Irvine,La Habra,La Mirada,La Palma,Ladera Ranch,Laguna Beach,Laguna Hills,Laguna Niguel,Lake Forest,Lakewood,Long Beach,Los Alamitos,Mission Viejo,Newport Beach,Newport Coast,Norwalk,Orange,Placentia,Rancho Santa Margarita,Rowland Heights,San Clemente,San Juan Capistrano,Santa Ana,Santa Fe Springs,Seal Beach,Silverado,Stanton,Sunset Beach,Surfside,Trabuco Canyon,Tustin,Villa Park,Westminster,Whittier,Yorba Linda Advisory Services Provided:    Financial Planning for Individuals, Money Management, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management, Financial Planning, Investment Advice & Management, Financial Advice & Consulting

Services Investment Types:    Bonds, Stocks, Exchange Traded Funds (ETFs), Closed-end funds Can meet clients in the following ways:    Your Office, Email, Phone, Our Office, Your Home, Our Offices, Video Conference

Qualifications & Memberships Certifications, Accreditations & Designations:    CFA® Financial Organization Memberships:    CFA Institute

Firm Information Assets Managed by Firm:    $120 million Assets Managed by Advisor:    $120 million Advisor's Number of Clients:    25 Firm's Number of Clients:    25 Advisor's Number of Planning Clients:    0 Advisor's Number of Managed Clients:    25 Firm's Number of Planning Clients:    0 Firm's Number of Managed Clients:    25

Compliance Criminal Disclosures in Last 5 years:    Have a clean record Compliance Disclosures in Last 5 years:    Have a clean record Registered Investment Advisor:    Yes Investment Advisor Representative:    Yes Acknowledged fiduciary:    Yes

Compensation and Fees Fee % Based on Assets:    100 Compensation Methods:    Based on Assets Minimum Portfolio Size for New Managed Accounts:    $500000 Fee Structure:    Fee-Only

Frequently Asked Questions

Q.	Do you have a customer satisfaction or refund policy?

Q.	What are your qualifications? What is your education background?

Q.	How are you compensated? How will I pay for your services?

Q.	If you are going to manage my account, will you obtain my permission every time you buy or sell something?

Q.	How many clients do you currently manage?

Q.	Will you be the only person working with me?

Q.	Do you offer any guaranteed results?

Q.	How much risk should I be willing to take?

Q.	Have you ever been charged with any breaches?

Q.	What is your approach to financial planning?

Q.	What services do you offer?

Q.	Why should I choose you as my financial advisor?

Q.	How do you charge for your services?

Q.	What services do you provide? What are your specialties?

Q.	What is your experience? How many clients do you currently manage?

Q.	What financial institution(s) do you represent?

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Q.	Do you have a customer satisfaction or refund policy?
Yes. Any client unhappy with our services can leave and we will refund any unearned fees.

Q.	What are your qualifications? What is your education background?
Our qualifications are provided in the biographies for each partner.

Q.	How are you compensated? How will I pay for your services?
Triad is compensated based on an assets under management fee schedule applied to your account. The fee is deducted on a quarterly basis from your account. The fee is deducted in advance of the quarter.

Q.	If you are going to manage my account, will you obtain my permission every time you buy or sell something?
We manage accounts on a non-discretionary basis. We do not speak with you to get your permission before we make a change to your portfolio.

Q.	How many clients do you currently manage?
We manage over 20 clients with total assets over $120 million.

Q.	Will you be the only person working with me?
We manage as a team so both of our partners will be involved in managing your account and working with you.

Q.	Do you offer any guaranteed results?
No, nothing in investing can ever be considered guaranteed.

Q.	How much risk should I be willing to take?
Triad defines risk as the probability of permanent loss of capital, not temporary price fluctuations. We attempt to minimize risk by owning businesses with strong competitive advantages managed by people with demonstrated histories of business performance and of treating shareholders fairly. The risk you are willing to take is up to you and we will discuss with you.

Q.	Have you ever been charged with any breaches?
No.

Q.	What is your approach to financial planning?
We look at financial planning as an ongoing process and see ourselves as guides to a changing landscape facing our clients. We prepare an initial plan for clients who elect to do one, and work with them to keep it updated and address action items on an ongoing basis.

Q.	What services do you offer?
Triads focus on relationship sizes over $1 million makes us best suited for first or second generation business owners, affluent families, and high net worth individuals. We are aligned with our clients by being 100% owners of our firm and investing generally in the same securities as clients. We make independent investment decisions without relying on Wall Street opinions.

Q.	Why should I choose you as my financial advisor?
We are experienced in working to solve the financial challenges from financial planning to investment management that face our client families.

Q.	How do you charge for your services?
We charge a fixed percentage of assets under our management.

Q.	What services do you provide? What are your specialties?
Triads mission is to deliver professional investment management services to a select group of clients with shared investment philosophies. We offer unbiased and personal advice. More detail about our investment philosophy and process is available at www.triadim.com.

Q.	What is your experience? How many clients do you currently manage?
Both partners of Triad have several decades of industry experience. We currently manage over 20 clients with approximately $120 million of assets invested with our firm.

Q.	What financial institution(s) do you represent?
We do not represent any other institutions. We are an independent SEC-registered investment advisor providing services directly to our clients. We do not sell any products. All accounts are held with an independent brokerage firm and we recommend that our clients custody their accounts with Fidelity Institutional Wealth Services.