Transition Advisory Group Llc
State-registered
Institutional / Pension Advisor · Boutique (under $100M)
CRD 298446
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ADV data as of Mar 09, 2026
- Regulatory AUM
- $35.7M
- Discretionary
- $12.4M
- Clients
- 61
- Avg AUM / client
- $586K
- Accounts
- 96
- Employees
- 2
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 37 | $5.0M | 13.9% |
| High net worth individuals | 17 | $11.3M | 31.7% |
| Pension and profit sharing plans | 7 | $18.0M | 50.5% |
| Corporations and other businesses | Fewer than 5 clients | $1.4M | 3.91% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| John Leonard Nelson | Registered representative | Oct 2018 (8y) | ||
| William Elmer Mcguire | Registered representative | Sep 2019 (7y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/09/2026 | 1.19 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Other fees
- • SOLICITOR FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $15.7M (44% of AUM) Mar 2026
- Voya Financial $10.1M (28% of AUM) Mar 2026
- John Hancock Distributors Llc $5.7M (16% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 09, 2026.
View current Form ADV (SEC/IAPD) ↗