Tricor Pacific Capital Partners (Fund Iv), Ulc (Lake Forest)

Name: Tricor Pacific Capital Partners (Fund Iv), Ulc
Address: One Westminster Place, Suite 100, Lake Forest, IL, 60045
Telephone: 847-295-4410

Tricor Pacific Capital Partners (Fund Iv), Ulc is a large advisory firm based in Lake Forest. It manages $902.69 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2013.

Tricor Pacific Capital Partners (Fund Iv), Ulc 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 Partners (Fund Iv), Ulc: assets under management

The assets under management (AUM) of Tricor Pacific Capital Partners (Fund Iv), Ulc is $902.69 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 51% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $902.69 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $225.67 million each.

Tricor Pacific Capital Partners (Fund Iv), Ulc has custody of $902.69 million in cash and securities for 4 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 Partners (Fund Iv), Ulc 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 Partners (Fund Iv), Ulc

Bradley Scott Seaman has been acting as President since 1 Mar 2006. Nicholas Andrew Peters joined the executive team most recently as the Chief Financial Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Bradley Scott Seaman	Managing partner/director	1 Mar 2006	Other	6024110
Roderick Riley Senft	Managing director/director	1 Mar 2006	Other	6023831
James Trevor Johnstone	Managing director/director	1 Mar 2006	Other	6023835
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
David James Rowntree	Director	1 Mar 2006	Other	6023837
John L. Westerman	Chief compliance officer	1 Dec 2011	Other	5202051
Nicholas Andrew Peters	Managing director/chief financial officer	1 Dec 2011	Other	6166955
Rob Vernon Wildeman	Managing director	1 Dec 2011	Other	4856150
Scott Anthony Daum	Managing director	1 Dec 2011	Other	6261551
Nicholas Andrew Peters	Chief financial officer	1 Feb 2013	Other	6166955

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 Lake Forest

The principal office where Tricor Pacific Capital Partners (Fund Iv), Ulc performs its advisory services is located at One Westminster Place, Suite 100, Lake Forest, IL 60045, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 847-295-4410 or by fax 847-295-4243. The normal business hours are 8:30 am - 5:00 pm cst on Monday - Friday. You can find more information about the New York firm at p49equity.com.