Triumph Capital Management is an 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. BrokerCheck 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, the 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 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.
Business Continuity Plan
The Firm 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 to file 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.
Triumph Capital Management Disclosures