Transition Family Wealth
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About
Transition Family Wealth is a registered investment adviser that provides financial planning, portfolio management, retirement-plan advice, and pension consulting to individuals, high-net-worth clients, and small businesses. The firm offers both broad-based and modular planning, ongoing supervision of accounts, and assistance with retirement-plan rollovers and employer-sponsored plan considerations.
The firm’s investment approach is grounded in Modern Portfolio Theory and fundamental analysis, with recommendations that may include ETFs, mutual funds, individual equities, fixed income, Level 1 options, and structured notes. It places additional emphasis on scenario analysis and stress testing to evaluate tail-risk and “black swan” exposures when constructing and adjusting portfolios.
What is distinctive about the firm is its explicit pension consulting and retirement-plan sponsor services, including acting as an ERISA §3(21) limited fiduciary and offering participant-group review sessions—services that are less common among firms in its category. The firm also states it does not charge for its financial planning sessions and offers modular planning options, which may influence how clients engage with its advisory and implementation services.
Client services
Expertise
Fee options
$0 - $1,000,000: 1.10% annually $1,000,001 - $3,000,000: 0.90% annually $3,000,001 - $5,000,000: 0.75% annually $5,000,001+: Negotiable
Account minimum: No minimum account size required to open or maintain an investment account; however, there is a minimum annual portfolio management fee of $4,000 for accounts valued over $200,000. Minimum fee: $4,000 annual minimum fee for accounts valued over $200,000 Fee-only: Portfolio management fees on a tiered AUM basis; no commissions or load fees.
Main office
Phoenix AZ
Advisors at this office
1
Most active in
Arizona
Also doing business as
Transition Family Wealth · Transition Family Wealth, LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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