Wealth Transitions
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Wealth Transitions is a small, independent advisory firm that primarily serves individual clients, providing discretionary and non-discretionary investment management, full financial planning, and hourly financial consulting. The firm also conducts educational seminars and workshops for the public and addresses topics such as estate transfer, tax reduction strategies, and preparing the next generation to inherit.
The firm develops client-specific strategies based on documented goals, time horizons, and risk tolerance, using methods that include fundamental analysis, Modern Portfolio Theory, strategic asset allocation, and Monte Carlo simulations for retirement planning. Accounts are monitored on an ongoing basis with quarterly account reviews and the option for clients to grant discretionary trading authority or require prior approval for each transaction.
Distinctive features include the firm’s regular public workshops (charged per attendee) and explicit financial consulting on retirement-readiness and Social Security timing, services that overlap with pension-related advice more often than peers. The firm is a solo practice with roughly two dozen clients and about $6.2 million in assets under management, and its brochure discloses a past regulatory event in which the firm’s principal paid a fine and received a short suspension from FINRA for exercising discretion when not permitted.
Client services
Expertise
Fee options
1.0% annually flat rate on all assets
$400 per hour for financial consulting and financial planning, negotiable
Main office
Forest Lake MN
Advisors at this office
1
Most active in
Minnesota · Texas · Wisconsin
Also doing business as
Thomas M Hallberg, LLC · Wealth Transitions
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.
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