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Joseph Vazquez

Transition Family Wealth
24 Years of Experience
Phoenix, AZ
1 Disclosure
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Joseph Vazquez is a registered investment advisor at Transition Family Wealth, based in Phoenix, AZ, with 24 years of industry experience. Joseph operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Divorce Planning, Education Planning, Estate Planning, and 6 more.

Transition Family Wealth
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
Not specified
Average Client Portfolio
Not specified

Fee Structure

Minimum Investment:None
Planning is included in investment management
Minimum Annual Fee:$4,000
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.10%
$1.0M - $3.0M0.90%
$3.0M - $5.0M0.75%
$5M+0.75%

Fees for accounts over $5,000,000 are negotiable. Household accounts are aggregated for fee discounting.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Phoenix, AZ

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Criminal
August 1999
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Transition Family Wealth
May 2024 - Present · 2 yrs 5 mos
Previous Registrations
Wealth Management Solutions
June 2015 - March 2024 · 8 yrs 9 mos
Wealth Management Solutions
March 2014 - January 2015 · 10 mos
Bbva Securities INC.Broker
May 2013 - January 2014 · 8 mos
Bbva Wealth Solutions INC.
January 2013 - January 2014 · 1 yr
Bbva Compass Investment Solutions, INCBroker
January 2013 - May 2013 · 4 mos
Charles Schwab & CO., INC.
September 2005 - November 2012 · 7 yrs 2 mos
Charles Schwab & CO., INC.Broker
January 2001 - November 2012 · 11 yrs 10 mos
State Registrations1 state
AZ
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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