TRANSITION FINANCIAL ADVISORS GROUP, INC.
Adviser information for TRANSITION FINANCIAL ADVISORS GROUP, INC. last updated from Form ADV on February 21st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Arizona, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 649 | $223.7M |
| Non-Discretionary | 0 | $0 |
| Total | 649 | $223.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 42 | $22.3M |
| HNW Individuals | 90 | $200.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $1.4M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 22 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)TAX PREPARATION |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | CANADA-U.S. FINANCIAL PLANNING |
Identifiers
| SEC RIA File Number | 801-113459 |
|---|---|
| SEC ERA File Number | 801-113459 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 116089 |
| Legal Entity Identifier | None |
Principal Office
468 E. BRIDLE WAYGILBERT
AZ
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: (480) 722-9414, Fax: (480) 812-2090
Chief Compliance Officer
BRIAN DALE WRUK
PRESIDENT
468 E. BRIDLE WAY
GILBERT
AZ
United States
Tel:
(480) 722-9414
Fax:
(480) 812-2090
B****@**********************M
(Full email address available in API data)
Regulatory Contact
MITCHELL MARENUS
CHIEF INVESTMENT OFFICER
468 E. BRIDLE WAY
GILBERT
AZ
United States
Tel:
(480) 722-9414
Fax:
(480) 812-2090
M****@**********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WRUK, BRIAN, DALE | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 01/2001 | > 75% |
| MARENUS, MITCHELL, EVAN | Individual | – | CHIEF INVESTMENT OFFICER | 05/2011 | 10-25% |