{"url":"https://nivawealth.com/firms/transition-financial-advisors-group-116089","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/116089","regulatoryAum":300608995,"crd":"116089","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8002570","suffix":null,"lastName":"Caba","firstName":"Anthony","middleName":"Edward"},{"crd":"2563480","suffix":null,"lastName":"MARENUS","firstName":"MITCHELL","middleName":"EVAN"},{"crd":"6530985","suffix":null,"lastName":"STRYMECKI","firstName":"JENNIFER","middleName":"LOUISE"},{"crd":"3090420","suffix":null,"lastName":"WRUK","firstName":"BRIAN","middleName":"DALE"}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-19","regulatoryAum":187147018,"clients":108,"employees":5,"offices":3},{"filedOn":"2022-04-25","regulatoryAum":227669972,"clients":122,"employees":6,"offices":2},{"filedOn":"2023-03-13","regulatoryAum":189778330,"clients":126,"employees":6,"offices":2},{"filedOn":"2024-02-21","regulatoryAum":223745677,"clients":132,"employees":6,"offices":2},{"filedOn":"2025-05-17","regulatoryAum":261482689,"clients":144,"employees":6,"offices":2},{"filedOn":"2026-03-31","regulatoryAum":300608995,"clients":149,"employees":7,"offices":4}],"secFileNumber":"801-113459","legalName":"Transition Financial Advisors Group, LLC","displayName":"Transition Financial Advisors Group","slug":"transition-financial-advisors-group-116089","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/transition-financial-advisors-group/","founded":"2001","organization":"Arizona limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"14 June 2018","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2001900.8859060402,"staff":{"employees":7,"advisory":5,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":300608995,"discretionary":300608995,"discretionaryAccounts":781,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":23,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":43,"regulatoryAum":26891125},{"label":"High-net-worth individuals","clients":106,"regulatoryAum":271392107},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":2325763}],"feePrograms":[{"role":"main","program":"Wealth Management and Investment Advisory Services","feeBasis":"marginal","fee_tiers":[{"to":1000000,"pct":1,"from":0},{"to":2000000,"pct":0.85,"from":1000000},{"to":3000000,"pct":0.75,"from":2000000},{"to":5000000,"pct":0.65,"from":3000000},{"to":7000000,"pct":0.5,"from":5000000},{"to":10000000,"pct":0.4,"from":7000000},{"to":15000000,"pct":0.25,"from":10000000},{"to":null,"pct":0.1,"from":15000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1035772","versionId":1035772,"ratePeriod":"annual","fee_billing":null,"submittedOn":"2026-03-31","documentName":"PART 2A BROCHURE","fee_rate_low":0.1,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":"annual","fee_minimum_annual":5000},{"role":"other","program":"Financial Planning and Consulting (Stand-Alone)","summary":"Planning fixed fees range from $3,000 to $100,000; consulting is $100 to $600 an hour; negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1035772","versionId":1035772,"submittedOn":"2026-03-31","documentName":"PART 2A BROCHURE"},{"role":"other","program":"Tax Preparation","summary":"Stand-alone tax preparation is $300 to $350 an hour; combined with other services $150 to $180 an hour; total $300 to $3,000.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1035772","versionId":1035772,"submittedOn":"2026-03-31","documentName":"PART 2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T08:38:09.689041+00:00","documents":[{"name":"PART 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1035772","versionId":1035772,"submittedOn":"2026-03-31"}]},"custodians":[{"name":"National Bank Independent Network","shortName":"National Bank Independent Network","location":"Toronto","smaAssets":67667041},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":210133002}],"custodyNote":"Transition Financial Advisors Group does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Brian Wruk","title":"President and Chief Compliance Officer","crd":"3090420"},{"name":"Mitchell Marenus","title":"Chief Investment Officer","crd":"2563480"}],"ownership":[{"label":"Advantage Financial Services Buyer, LLC","detail":"Managing member in the 75% or more ownership band and a control person, since May 2025."},{"label":"Advantage Financial Services Intermediate Blocker, LLC","detail":"Indirect owner: a managing member of Advantage Financial Services Buyer, LLC in the 75% or more band and a control person, since January 2025.","parent":"Advantage Financial Services Buyer, LLC"},{"label":"Advantage Financial Services US Holdings, Inc.","detail":"Indirect owner: a managing member of Advantage Financial Services Intermediate Blocker, LLC in the 75% or more band and a control person, since January 2025.","parent":"Advantage Financial Services Intermediate Blocker, LLC"},{"label":"Advantage Financial Services Group, L.P.","detail":"Indirect owner: a managing member of Advantage Financial Services US Holdings, Inc. in the 75% or more band and a control person, since January 2025.","parent":"Advantage Financial Services US Holdings, Inc."},{"label":"Advantage Financial Services Parent, L.P.","detail":"Indirect owner: a managing member of Advantage Financial Services Group, L.P. in the 75% or more band and a control person, since January 2025.","parent":"Advantage Financial Services Group, L.P."},{"label":"Advantage Financial Services Holdings, L.P.","detail":"Indirect owner: a managing member of Advantage Financial Services Parent, L.P. in the 75% or more band and a control person, since January 2025.","parent":"Advantage Financial Services Parent, L.P."},{"label":"Trivest Discovery Fund II, L.P.","detail":"Indirect owner: a managing member of Advantage Financial Services Holdings, L.P. in the 75% or more band and a control person, since January 2025.","parent":"Advantage Financial Services Holdings, L.P."},{"label":"Trivest Discovery Partners II GP, L.P.","detail":"Indirect owner: general partner of Trivest Discovery Fund II, L.P. and a control person, since February 2022.","parent":"Trivest Discovery Fund II, L.P."},{"label":"Trivest Discovery Partners II Ugp, LLC","detail":"Indirect owner: general partner of Trivest Discovery Partners II GP, L.P. and a control person, since February 2022.","parent":"Trivest Discovery Partners II GP, L.P."},{"label":"Trivest Partners Corporation","detail":"Indirect owner: a managing member of Trivest Discovery Partners II Ugp, LLC in the 75% or more band and a control person, since February 2022.","parent":"Trivest Discovery Partners II Ugp, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":3},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"brochureServices":["education planning","estate planning","insurance","retirement plan services","tax planning","tax preparation"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"480-722-9414","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":3},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":3},{"label":"Sovereign bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":91},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/116089/PDF/116089.pdf","brochureDate":"31 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1035772","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Transition Financial Advisors Group have?","answer":"Transition Financial Advisors Group has 149 clients and manages $301 million for them, as of March 2026. They include 106 high-net-worth individuals and 43 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Transition Financial Advisors Group offer?","answer":"Transition Financial Advisors Group provides financial planning, portfolio management for individuals and small businesses, selecting other managers, education planning, estate planning, insurance, retirement plan services, tax planning, and tax preparation.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Transition Financial Advisors Group charge?","answer":"Transition Financial Advisors Group charges 0.10%–1.00% a year for its Wealth Management and Investment Advisory Services. Each asset band is charged at its own rate. The fee is negotiable and has a $5,000 annual minimum.","source":"PART 2A BROCHURE, filed 31 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Transition Financial Advisors Group use?","answer":"Transition Financial Advisors Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $210M and National Bank Independent Network (Toronto), with $67.7M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Transition Financial Advisors Group have?","answer":"Transition Financial Advisors Group has 4 investment adviser representatives registered with state securities authorities, out of 7 employees, and 5 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Transition Financial Advisors Group invest in?","answer":"At the end of its last fiscal year, Transition Financial Advisors Group’s separately managed accounts held 91% registered funds (mutual funds, ETFs, BDCs), 3% exchange-traded equities, 3% state and local bonds, 2% U.S. government and agency bonds, 1% sovereign bonds and 1% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Transition Financial Advisors Group?","answer":"Transition Financial Advisors Group is owned through a chain of holding companies by Trivest Partners Corporation. Its direct owner is Advantage Financial Services Buyer, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Transition Financial Advisors Group get paid?","answer":"Transition Financial Advisors Group is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Transition Financial Advisors Group?","answer":"Its phone number is 480-722-9414.","source":"Form ADV Part 1A, Item 1.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}