Transition Family Wealth
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
0
Very LowAverage account size
—
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
Financial planning
Portfolio management
Pension consulting
Expertise
Cash flow / budgeting
Debt management
Social Security optimization
Retirement withdrawal strategies
Business ownership considerations
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 location
Transition Family Wealth
Phoenix AZ, United States
Number of offices
1
Most active in
Transition Family Wealth has reported serving >5 clients in these states in the last 12 months.
Arizona
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
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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