Broker Check

Investor Information and Disclosures

Important Disclosures

Triumph Capital Management is a SEC Registered Investment Adviser (CRD# 282814 / SEC # 801 – 107312). Advisory services are 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. Triumph Capital, LLC is an independent agency, with insurance (Health, Life, Long Term Care, Disability) offered through the agency. Triumph Capital P.C.is an independent agency, with insurance (Property and Casualty) offered through the agency.

Additional Information regarding your 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 investment professional. Triumph Capital Management, Triumph Capital, LLC and Triumph Capital P.C. are not soliciting business in any 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 Triumph Capital, P.C. 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 Management, Triumph Capital, LLC, Triumph Capital P.C. or any affiliates, 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.


The Firm Brochures 

ADV Part 2A

ADV Part 2A is delivered to you annually. Triumph Capital Management's ("TCM" or "the Firm") ADV Part 2A defines in plain English the Firm and discloses the Firm's business practices, fees, conflicts of interests, and disciplinary information. 

Wrap Fee Brochure / Appendix 1 of ADV Part 2A

The wrap fee brochure is an appendix to TCM's ADV Part 2A. The wrap fee brochure better describes the Firm's wrap account services and business.

ADV Part 2B 

ADV Part 2B is a separate brochure regarding your Investment Adviser Representative ("IAR"). Like ADV Part 2A, this brochure is delivered to you on an annual basis. While ADV Part 2A and the Wrap Fee Brochure offer information about the Firm, ADV Part 2B offers information specifically on your IAR. ADV Part 2B includes information about your IAR, such as their educational background, business experience, and any disciplinary or criminal history that your IAR may have. All the Firm's IAR ADV Part 2B's are enclosed. We encourage you to read the ADV Part 2B of each IAR you are working with, and each IAR has an ADV Part 2B available to you. 

ADV Part 3 CRS

ADV Part 3 CRS is intended to be a summary of the ADV Part 2A. Again, it requires the Firm to summarize, at the company level, the types of services the Firm offers, the fees and costs clients pay for those services, any conflicts of interest the Firm may have, TCM's standard of conduct, and any legal or disciplinary history the Firm may have. ADV Part 3 CRS also provides instructions to find more detailed information about the Firm. ADV Part 3 CRS is required to be two pages long.

TCM's Privacy Policy

TCM's Privacy Policy intends to answer questions about what the Firm does with personal information and how it is shared.

Business Continuity Plan

The Firm's has a fiduciary obligation to its clients to inform them what the Firm would do if the Firm's inability to provide advisory services occurred after a disaster, death of key personnel, or other interruption of business. TCM's Business Continuity Plan is designed to help answers these questions


Chicago Clearing Corporation Opt-Out Form

In our ongoing effort to better serve you, Triumph Capital Management ("TCM") has chosen to engage Chicago Clearing Corporation ("CCC") to provide class action litigation monitoring, and securities claim filing services for your TD Ameritrade account(s).

CCC's sole business is securing class action claims. CCC monitors each claim you may have, collects the applicable trade history and documentation, interprets each settlement's terms, files the appropriate claim form, interacts with the administrators, and distributes your award on your behalf. CCC charges a contingency fee of fifteen percent, subtracted from your award when the award is paid.

If you choose to participate in this service, you authorize TCM to appoint CCC to file securities class action claims on your behalf. We will be required to provide private information to CCC to assist with the class action lawsuit research. Please be aware that if you do not "OPT-OUT" of this service, we will provide this information on your behalf. If you choose to opt-out, please download this form, Chicago Clearing Corporation Opt-Out Form, and please submit it to Triumph Capital Management at info@TriumphCapitalManagement.com or by mail. Triumph Capital Management, 1610 Wynkoop Street, Suite 550. Denver, CO 80202.


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.

The Five Star Wealth Management Award, administered by Crescendo Business Services, LLC (dba Five Star Professional), identifies a percentage of wealth managers within a local region (click here for research statistics) who satisfy objective eligibility and evaluation criteria associated with providing quality services to clients. Wealth managers do not pay a fee to be considered or awarded. Factors considered include: credentialed as a registered investment adviser or an investment adviser representative, a minimum of five years of experience in the financial services industry, *favorable regulatory and compliant history review, internal firm review, acceptance of new clients, one year and five year retention rates, non-institutional discretionary and/or non-discretionary client assets administered, number of client households, and education and professional designations.

*A favorable regulatory and complaint history is defined by Five Star Professional to mean that the wealth manager has not: been subject to a regulatory action that resulted in a license or registration being suspended or revoked, or payment of a fine, had more than a total of three settled or pending customer complaints filed against them (excluding dismissed complaints) with any regulatory authority or through Five Star Professional’s consumer complaint process, individually contributed to a financial settlement of a customer complaint, filed for personal bankruptcy, been convicted of a felony.

Recognition from rating services or publications is no guarantee of future investment success. Working with a Five Star Wealth Manager does not ensure that a client or prospective client will experience a higher level of performance or results. The inclusion of a wealth manager on The Five Star Wealth Manager Award list should not be construed as an endorsement of the adviser by any client nor are they representative of any one client’s evaluation.

For more information on the Five Star Award and the research/selection methodology, please visit www.fivestarprofessional.com.

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, CO 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 Certificates: 24,000
  • Fiduciary: Yes

The Chartered Retirement Planning Counselorâ„  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 disclosure 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