{ "crd_number": 116089, "slug": "transition-financial-advisors-group-llc-gilbert-az-116089", "primary_business_name": "TRANSITION FINANCIAL ADVISORS GROUP, LLC", "legal_name": "TRANSITION FINANCIAL ADVISORS GROUP, LLC", "dbas": [], "city": "Gilbert", "state": "AZ", "country": "United States", "cbsa_code": "38060", "metro": { "cbsa_code": "38060", "common_name": "Phoenix", "msa_name": "Phoenix-Mesa-Chandler, AZ", "path": "/advisors/az/phoenix" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2018-06-14", "years_registered": 8, "period": "2026-10-01", "filing_date": "2026-03-31", "carried_forward": false, "raum_total": 300608995.0, "raum_discretionary": 300608995.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 7, "advisory_employees": 5, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 26891125.0, "count": 43 }, "pension_profit_sharing": { "raum": 2325763.0, "count": null, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 271392107.0, "count": 106 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "other", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "AZ", "CA", "FL", "NH", "NJ", "TX" ], "websites": [ "https://canadianinamerica.ca", "https://linkedin.com/COMPANY/TRANSITION-FINANCIAL-ADVISORS-GROUP", "https://theamericanincanada.ca", "https://theamericanincanada.com", "https://thecanadianinamerica.ca", "https://thecanadianinamerica.com", "https://transitionfinancial.ca", "https://transitionfinancial.com", "https://transitionwealthus.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/116089", "city_as_filed": "GILBERT", "url": "https://advisorcensus.com/firm/transition-financial-advisors-group-llc-gilbert-az-116089", "display_name": "Transition Financial Advisors Group, LLC", "summary": "Transition Financial Advisors Group, LLC is an SEC-registered investment advisory firm in Gilbert, AZ, registered since 2018, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.", "citation": "AdvisorCensus. Transition Financial Advisors Group, LLC (CRD 116089): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Selection of other advisers (including private fund managers)", "Other" ], "quick_answers": [ { "q": "How is Transition Financial Advisors Group, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Transition Financial Advisors Group, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)." }, { "q": "Where is Transition Financial Advisors Group, LLC located?", "a": "Transition Financial Advisors Group, LLC's principal office is in Gilbert, AZ, according to its Form ADV." }, { "q": "Is Transition Financial Advisors Group, LLC registered with the SEC or a state?", "a": "Transition Financial Advisors Group, LLC is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 116089." }, { "q": "How much does Transition Financial Advisors Group, LLC manage?", "a": "Transition Financial Advisors Group, LLC reports $300,608,995 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)." }, { "q": "How have Transition Financial Advisors Group, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Transition Financial Advisors Group, LLC: Regulatory assets under management: $187,147,018 in the October 2021 data and $300,608,995 in the October 2026 data, up 61%. Total employees: 5 in October 2021 and 7 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Transition Financial Advisors Group, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (106); individuals (other than high net worth individuals) (43)." }, { "q": "Which custodians does Transition Financial Advisors Group, LLC use?", "a": "Transition Financial Advisors Group, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and National Bank Independent Network as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Transition Financial Advisors Group, LLC report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/116089" }, { "q": "Does Transition Financial Advisors Group, LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 31, 2026 says: \"The Registrant generally requires a minimum asset level of $1,000,000 for investment advisory services.\"" }, { "q": "What changed in Transition Financial Advisors Group, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 3 to 5. Regulatory assets under management went from $261,482,689 to $300,608,995 (+15%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 187147018.0, "total_employees": 5, "filing_date": "2021-03-19" }, { "period": "2022-10-01", "regulatory_assets_under_management": 227669972.0, "total_employees": 6, "filing_date": "2022-04-25" }, { "period": "2023-10-01", "regulatory_assets_under_management": 189778330.0, "total_employees": 6, "filing_date": "2023-09-13" }, { "period": "2024-10-01", "regulatory_assets_under_management": 223745677.0, "total_employees": 6, "filing_date": "2024-02-21" }, { "period": "2025-10-01", "regulatory_assets_under_management": 261482689.0, "total_employees": 6, "filing_date": "2025-05-17" }, { "period": "2026-10-01", "regulatory_assets_under_management": 300608995.0, "total_employees": 7, "filing_date": "2026-03-31" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 3 to 5.", "Regulatory assets under management went from $261,482,689 to $300,608,995 (+15%)." ] }, { "period": "2025-12-01", "period_label": "December 2025", "notes": [ "Changed its legal name from Transition Financial Advisors Group, Inc. to Transition Financial Advisors Group, LLC.", "Registered or notice-filed in NJ." ] }, { "period": "2025-11-01", "period_label": "November 2025", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 31, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "$1,000,000", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: $1,000,000" ], "quotes": [ "The Registrant generally requires a minimum asset level of $1,000,000 for investment advisory services." ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": null, "account_minimum": 1000000.0, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "The Registrant generally requires a minimum asset level of $1,000,000 for investment advisory services." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "National Bank Independent Network", "name_as_filed": "NATIONAL BANK INDEPENDENT NETWORK", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/transition-financial-advisors-group-llc-gilbert-az-116089.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 43, "fewer_than_5": false, "raum": 26891125.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 106, "fewer_than_5": false, "raum": 271392107.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": true, "raum": 2325763.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/116089", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }