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Investor Information and Disclosures

Managed Account and Client Agreement Document

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Triumph Capital Management Privacy Policy

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Triumph Capital Management Customer Identification Program

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Triumph Capital Management Business Continuity Plan

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Triumph Capital Management ADV 2A

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Triumph Capital Management Part 2A Wrap Brochure

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IAR Brochure ADV Part 2B

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Important Disclosures

Triumph Capital Management is a SEC Registered Investment Adviser (CRD# 282814 / SEC # 801 – 107312). Advisory services are therefore offered through Triumph Capital Management. Triumph Capital Management’s registration with the United States Securities and Exchange Commission or any state securities authority does not imply a certain level of skill or training.

Many of Triumph Capital Management’s Investment Adviser Representatives ("IAR") also use the doing business as ("DBA") Triumph Capital, LLC when offering commission based securities or investment products. Triumph Capital, LLC is an independent firm with securities offered through Summit Brokerage Services, Inc., member FINRA and SIPC. Advisory services are offered through Triumph Capital Management a SEC Registered Investment Adviser.

Registered Representatives of Summit Brokerage Services (Triumph Capital, LLC) may also be designated to provide advisory services as Investment Adviser Representatives (IAR) of Triumph Capital Management. Investment Advisor Representatives of Triumph Capital Management may receive fees for advisory services which are separate from commissions received in connection with the purchase or sale of securities. Information about our advisory services and conflicts of interest can be obtained online, by mail or by requesting a copy of our disclosure brochure form ADV Part 2A and other supporting documentation

Additional information about Triumph Capital Management and Summit Brokerage Services is available on the SEC’s website at www.Adviserinfo.SEC.gov.  You can use a unique identifying number, known as a CRD number to find information on either firm.  The CRD number for Triumph Capital Management is 282814 while the CRD number for Summit is 109485.

Additional Information regarding your Registered Representative and or Investment Adviser Representative can be found by visiting FINRA's BrokerCheck.  BrokerCheck is a free tool to research the background and experience of advisers, firms, and brokers. A link to FINRA's broker check is presented throughout this website. BrokerCheck helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Broker Check tells you instantly whether a person or firm is registered, as required by law to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both. BrokerCheck gives you a snapshot of a broker's employment history, licensing information and regulatory actions, arbitration and complaints, please again visit Broker Check by clicking on this link BrokerCheck

This website is published in the United States for residents of the United States. Products and services mentioned on this website may not be available in all states. To request a prospectus or more information, please contact your Triumph Capital Management and or your Triumph Capital, LLC investment professional. Triumph Capital Management and Triumph Capital, LLC are not soliciting business in and domestic or international jurisdictions where it or its associates are not registered.

The information and opinions on this site provided by any third parties have been obtained from sources believed to be reliable, but accuracy and completeness cannot be guaranteed. It is given for informational purposes only and is not a solicitation to buy or sell. This information is not intended to be used as the primary basis for investment decisions, nor should it be considered as advice designed to meet the specific needs of an individual investor. Please seek the advice of professionals, as appropriate, regarding the evaluation of any specific information, opinion, advice, or other content.

Linked sites are not under the control of Triumph Capital Management, Triumph Capital, LLC or Summit Brokerage Services and we are not responsible for the contents of any linked site or any link contained in a linked site, or any changes or updates to such sites. Linked sites may contain rules and regulations, privacy provisions, confidentiality provisions, transmission of personal data provisions, and other provisions that differ from the provisions of this website.

TRIUMPH CAPITAL, LLC, TRIUMPH CAPITAL MANAGEMENT OR ITS AFFILIATES OR ANY DIVISIONS ARE NOT BANKS OR CREDIT UNIONS, AND THE PRODUCTS WE OFFER ARE NOT FEDERALLY GUARANTEED OR FDIC INSURED, ARE NOT DEPOSITS OR OBLIGATIONS OF, OR GUARANTEED BY A FINANCIAL INSTITUTION, AND INVOLVE RISKS INCLUDING POSSIBLE LOSS OF PRINCIPAL AND FLUCTUATION IN VALUE.

Important Disclaimers

The information and opinions on this website that is provided by any third parties have been obtained from sources believed to be reliable, but accuracy and completeness cannot be guaranteed. Triumph Capital Management, Triumph Capital, LLC and various Triumph Capital Management Investment Adviser Representatives and Triumph Capital, LLC Registered Representatives have obtained industry designations are members of certain associations and have been awarded certain accolades. Please read the important disclosure presented below for information and disclosure information on these associations, designations, and awards.

This information is given for informational purposes and is not a solicitation to buy or sell. The inclusion of the firm (Triumph Capital Management, Triumph Capital, LLC) or any of the firm’s Investment Adviser Representatives or Registered Representatives in any association, financial designation obtained by an IAR or accolade awarded is not indicative of future performance or success. This information is not intended to be used as the primary basis for investment decisions, nor should it be considered as advice designed to meet the specific needs of an individual investor. Please seek the advice of professionals, as appropriate for your situation.

Five Star Wealth Manager Award

The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (DBA Five Star Professional), is based on 10 objective criteria:

  1. Credentialed as a registered investment adviser or a registered investment adviser representative;
  2. Active as a credentialed professional in the financial services industry for a minimum of 5 years;
  3. Favorable regulatory and complaint history review (unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process*);
  4. Fulfilled their firm review based on internal standards;
  5. Accepting new clients;
  6. One-year client retention rate;
  7. Five-year client retention rate;
  8. Non-institutional discretionary and/or non-discretionary client assets administered;
  9. Number of client households served;
  10. Education and professional designations.

Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 3,008 Denver wealth managers were considered for the award; 517 (18 percent of candidates) were named Five Star Wealth Managers.

To qualify as having a favorable regulatory and complaint history, the person cannot have:

  1. Been subject to a regulatory action that resulted in a suspended or revoked license, or payment of a fine,
  2. Had more than three customer complaints filed against them (settled or pending) with any regulatory authority or Five Star Professional’s consumer complaint process, individually contributed to a financial settlement of a customer complaint filed with a regulatory authority,
  3. Filed for bankruptcy, or
  4. Been convicted of a felony.
  • The inclusion of a wealth manager in the Five Star Wealth Manager award, as well as any other referenced award, is based in part, on client response to survey and additional criteria utilized by awarding organization which is not necessarily representative of the experience of all clients. The awards or ratings are not indicative of the wealth manager's future performance or success.

 

Financial Planning Association

The Financial Planning Association® (FPA®) is the principal professional organization for CERTIFIED FINANCIAL PLANNER™ (CFP®) professionals, educators, financial services providers and students who seek advancement in a growing, dynamic profession.

FPA supports high standards of professional competence, ethical conduct, and clear, complete disclosure when serving clients. FPA’s One Connection™ for professional development, business success, advocacy and community at the national and chapter levels is truly indispensable in the advancement of today’s CFP® professionals. FPA is headquartered in Denver, Colo. and is governed by a volunteer Board of Directors who are charged with setting the strategic vision for the organization. FPA’s staff is dedicated to implementing that vision and creating an unparalleled membership experience.

  • The association of an adviser with the Financial Planning Association, as well as any other referenced organization does not imply a certain level of skill or training and is not indicative of the wealth manager's performance or success.

Charter Retirement Planning Counselor (“CRPC”)

  • Issuing Organization: College for Financial Planning
  • Accrediting Agency: None
  • Current Number of Certificants: 24,000
  • Fiduciary: Yes

The Chartered Retirement Planning Counselor℠ or CRPC® designation is the nation’s premier retirement planning credential. Master every step of the retirement planning process and learn to create a “roadmap to retirement” for your clients. Financial advisers face an increasingly complex onslaught of retirement planning questions as aging baby boomers look for investments to meet their lifestyle needs in 10 years, 20 years, and beyond, as well as determining when they can actually retire. You’ll find these clients demand a high level of trust from their advisers. You can build this trust and add to your expertise and credibility with the CRPC® mark after your name.

  • The designation of CRPC of an adviser, as well as any other referenced designation, is not an indication of the adviser's future performance or success.

Charter Financial Consultant (“ChFC”)

Advanced planning for every person, every need. That’s the promise of a ChFC® (Chartered Financial Consultant®) designation from The American College of Financial Services. Comprised of nine college-level courses that address all aspects of financial planning, with a focus on the practical applications of those principles based on real-life case studies. The goal of the ChFC® curriculum is to help an adviser you gain a significant advantage and help your clients meet their goals.

  • The designation of ChFC of an adviser, as well as any other referenced designation, is not an indication of the adviser’s future performance or success.

Top Ranked Investment Managers and Financial Planners

The Top ranked Investment Managers and Financial Planners as seen in 5280 Magazine, Colorado Biz Magazine and Denver Business Journal are extensions of the Five Star Professional Award, Please see the above criteria discussed in the Five Star Wealth Manager Award Section for important disclosurte information regarding this award.

  • The inclusion of a wealth manager in the Top Ranked Investment Manager and Financial Planners and any publication that this award is published in is based in part, on client response to survey and additional criteria utilized by awarding organization which are not necessarily representative of the experience of all clients. The awards or ratings are not indicative of the wealth manager's future performance or success.
Certified Wealth Strategist ("CWS")

The Certified Wealth Strategist® utilizes a blended learning approach that includes instructor-led training, 13 Wealth Management Issues study guides, online mastery exams, conversation skill builders and eLessons. The learning experience culminates with a Capstone Project: a written document demonstrating a sustainable framework which applies the new knowledge and skills to the practitioner’s business. The program provides the knowledge, the practice management formula, and the critical client interaction skills to create and build a dynamic Wealth Advisory practice that works effectively with complex client issues.

  • The designation of CWS of an adviser, as well as any other referenced designation, is not an indication of the adviser's future performance or success