Tricor Pacific Capital, Inc. (Vancouver)

Name: Tricor Pacific Capital, Inc.
Address: Suite 1560 200 Burrard Street, Vancouver, V6 C 3 L6
Telephone: 604-688-7669

Tricor Pacific Capital, Inc. is a large advisory firm based in Vancouver. It manages $523.75 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2012.

Tricor Pacific Capital provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Tricor Pacific Capital: assets under management

The assets under management (AUM) of Tricor Pacific Capital, Inc. is $523.75 million, all of which is managed in discretionary accounts. The company doesn't manage any assets belonging to foreign clients.

The firm manages $523.75 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $261.87 million each.

Tricor Pacific Capital has custody of $523.75 million in cash and securities for 2 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Tricor Pacific Capital, Inc. for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Tricor Pacific Capital, Inc.

Roderick Riley Senft has been acting as President since 1 Mar 2006. John L. Westerman joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Roderick Riley Senft	Director	1 Mar 2006	Other	6023831
James Trevor Johnstone	Director	1 Mar 2006	Other	6023835
David James Rowntree	Director	1 Mar 2006	Other	6023837
Bradley Scott Seaman	Director	1 Mar 2006	Other	6024110
Inc. Tpcp Cnd (Fund Iv)	Shareholder	1 Mar 2006	25% - 50%	foreign
Inc. Tpcp Usa (Fund Iv)	Shareholder	1 Mar 2006	Other	20-4973370
Inc. Tricor Management Holdings	Shareholder	1 Mar 2006	50% - 75%	foreign
John L. Westerman	Chief compliance officer	1 Dec 2011	Other	5202051

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Black Tusk Capital	Shareholder	1 May 2006	25% - 50%	foreign
Roderick Riley Senft	Shareholder	1 Jun 2006	75% - 100%	6023831
Bradley Scott Seaman	Shareholder	1 Jul 2006	75% - 100%	6024110

Based in Vancouver

The principal office where Tricor Pacific Capital, Inc. performs its advisory services is located at Suite 1560 200 Burrard Street, Vancouver, V6 C 3 L6, which is also the mailing address of the firm. An additional office of the firm is in Lake Forest, IL. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 604-688-7669 or by fax 604-688-7649. The normal business hours are 8:30 am - 5:00 pm pst on Monday - Friday. You can find more information about the New York firm at www.tricorpacific.com.