TRANSITIONS WEALTH MANAGEMENT, LLC
Adviser information for TRANSITIONS WEALTH MANAGEMENT, LLC last updated from Form ADV on March 26th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 414 | $478.4M |
| Non-Discretionary | 0 | $0 |
| Total | 414 | $478.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 254 | $67.4M |
| HNW Individuals | 159 | $385.0M |
| 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 | 8 | $23.6M |
| Charitable organizations | <5 | $2.4M |
| 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 | 414 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-61992 |
|---|---|
| SEC ERA File Number | 801-61992 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107812 |
| Legal Entity Identifier | None |
Principal Office
4600 S. ULSTER ST., SUITE 1050DENVER
CO
United States
Monday - Friday, 8:00AM - 4:00PM
Tel: 303-221-4867, Fax: 720-379-4411
Websites
Chief Compliance Officer
BRUCE R. BENDELL
MANAGING MEMBER
4600 S. ULSTER ST., SUITE 1050
DENVER
CO
United States
Tel:
303-221-4867
Fax:
720-379-4411
B****@****************M
(Full email address available in API data)
Regulatory Contact
MICHAEL G. SIMMONS
MEMBER
4600 S. ULSTER ST., SUITE 1050
DENVER
CO
United States
Tel:
303-221-4867
Fax:
720-379-4411
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 |
|---|---|---|---|---|---|
| BENDELL, BRUCE, RICHARD | Individual | – | CCO/MANAGING MEMBER | 07/2000 | < 5% |
| SALTZMAN, GARY, PAUL | Individual | – | MEMBER | 11/1998 | < 5% |
| SIMMONS, MICHAEL, GENE | Individual | – | MEMBER | 01/2019 | < 5% |
| SANDT-WADE, MICHELLE, RUTH | Individual | – | MEMBER | 01/2020 | < 5% |
| MERCER GLOBAL ADVISORS INC. | Domestic Entity | – | PARENT COMPANY | 12/2023 | > 75% |