Protection of Client Assets
At TriCapital, it is important that our clients’ assets are always protected from the possibility of fraud, bankruptcy or other defalcation. To that end, client accounts are protected by the SIPC in case of bankruptcy or financial difficulty to a limit of $500,000, and $250,000 of cash. Further, our clients have additional protection at no cost through Lloyd’s of London and other insurers, in the amount of $1 billion which is the maximum “excess SIPC” coverage currently available in the brokerage industry.
Triad selected Fidelity Investments and National Financial Services (NFS) to provide custody, trade execution and clearing services. NFS holds your assets and produces statements independent of reports prepared by TriCapital as a check and balance system with the mission that your wealth is always secure. TriCapital provides discretionary investment services which are limited to trading authority with no ability to access the accounts otherwise. Further, clients have the option of accessing their account balances on-line at any time to view their holdings and account balances.