derek eichenwald · the brochure supplement provides information about derek eichenwald that...

Derek Eichenwald

Form ADV, 2B Brochure Supplement

April 18, 2017 Form ADV, 2B

The Brochure Supplement provides information about Derek Eichenwald that supplements Triumph Capital Management’s Brochure. You should have received a copy of the Brochure. Please contact Brandon Drespling, Chief Compliance Officer, if you did not receive Triumph Capital Management’s brochure of if you have any questions about the contents of this supplement. Mr. Drespling can be reached at (720) 399-5555 or [email protected]. Additional information about Derek Eichenwald is available on the SEC’s website at www.adviserinfo.sec.gov. Information can be accessed by using CRD# 4613771.

Triumph Capital Management Headquarters 1610 Wynkoop Street, Suite 550, Denver CO 80202

Phone: 720-399-5555 | Fax: 720-399-5560 Email: [email protected]

Website: www.TriumphCapitalManagement.com

mailto:[email protected]

http://www.adviserinfo.sec.gov/


http://www.triumphcapitalmanagement.com/

ITEM 2 – EDUCATION BACKGROUND AND BUSINESS EXPERIENCE

DEREK N EICHENWALD

• Born: 1980

POST – SECONDARY EDUCATION:

• Colorado State University – Bachelor Degree: Business – 2001

• Successfully complete the General Securities Principal (Series 24), General Securities

Representative (Series 7), and Uniform Combined State Law Examination (Series 66)

• Insurance Licenses: Life, Health, Variable, Long Term Care

• University of Pennsylvania, Wharton School of Business – 2006. Retirement Planning Specialist certificate from the Wharton School at the University of Pennsylvania, in the Wharton Retirement Planning Program

RECENT BUSINESS EXPERIENCE:

YEARS EMPLOYMENT 2016 – Present Triumph Capital Management, Investment Adviser

Representative 2015 – Present Summit Brokerage Services, Inc., Registered

Representative 2015 – Present Summit Financial Group, Investment Adviser

Representative 2015 – Present Cetera Investment Advisors, LLC, Investment

Adviser Representative 2009 – 2015 J.P. Turner & Company, LLC, Registered

Representative 2009 – 2015 JPTCM, Investment Adviser Representative

2007 – 2009 Raymond James Financial Services, Registered

Representative

2003 – 2008 AXA Advisors, Registered Representative

ITEM 3 - DISCIPLINARY INFORMATION

Mr. Eichenwald has no history of any legal or disciplinary events that deem to be material to a client’s consideration of Mr. Eichenwald to act as their investment adviser representative. FINRA’s BrokerCheck may have additional information regarding the disciplinary history of Mr. Eichenwald that is not included in this brochure supplement. (http://brokercheck.finra.org/Support/TermsAndConditions.aspx)

http://brokercheck.finra.org/Support/TermsAndConditions.aspx

ITEM 4 - OTHER BUSINESS ACTIVITIES

Mr. Eichenwald is a registered representative of Summit Brokerage Services, Inc., a securities broker/dealer, and a member of the Financial Industry Regulatory Authority, Inc. Brokerage services through Summit Brokerage, Inc. are marketed using the name Triumph Capital, LLC. Triumph Capital, LLC is an independent firm and is not affiliated with Summit Brokerage Services, Inc. Advisory services are offered through Triumph Capital Management, a registered investment advisor. Mr. Eichenwald is the sole owner of Triumph Capital Management and Triumph Capital, LLC.

As a broker-dealer, SBS engages in a broad range of activities normally associated with securities brokerage firms. Pursuant to the investment advice given by Mr. Eichenwald, investments in securities will be recommended for you. If SBS is selected as the broker-dealer, it will affect transactions in securities for you, a client of Triumph Capital Management and Mr. Eichenwald. By serving as the broker dealer, SBS and Mr. Eichenwald will receive commissions for executing securities transactions.

You are advised that if SBS is selected as the broker-dealer, the transaction charges may be higher or lower than the charges you may pay if the transactions were executed at other broker-dealers. You should note, however, that you have the right to not purchase securities through Mr. Eichenwald, Triumph Capital Management or SBS.

Mr. Eichenwald holds an insurance license to sell insurance and does so through his registration with Summit Brokerage Services, Inc., as well as holding appointments directly with various insurance companies. Mr. Eichenwald spends less than 10% of his time providing insurance products. Commissions may be earned by Mr. Eichenwald if insurance products are purchased through insurance companies. This may or may not create a conflict of interest.

Mr. Eichenwald will provide advice regarding investment company securities. You should be aware that, in addition to the advisory fees paid by you, each investment company also charges its own separate investment advisory fees and other expenses (internal management fees). In addition, you should be aware that mutual funds may be purchased separately independent of the investment management services of Triumph Capital Management.

Mr. Eichenwald, in his capacity as registered representatives of SBS, or agents appointed with various life, disability, or other insurance companies, receives commissions, 12(b)-1 fees, trails, or other compensation from the respective product sponsors and/or as a result of effecting securities transactions for you. However, you should note that you have the right to not purchase any investment products through Mr. Eichenwald. On advisory accounts through Triumph Capital Management, Mr. Eichenwald will not receive any other compensation.

Mr. Eichenwald is also an IAR of Summit Financial Group, and can offer a variety of advisory programs and services through Summit Financial Group in addition to the advisory services he can offer through Triumph Capital Management. Summit Financial Group is an affiliated RIA of Summit Brokerage Services, Inc. More Information on the services available through Summit Financial Group may be found in their firm brochure, available upon request from Mr. Eichenwald.

Mr. Eichenwald is also an IAR of Cetera Investment Advisors, LLC, and can offer a variety of advisory programs and services through Cetera Investment Advisors, LLC in addition to the advisory services he is able to offer through Triumph Capital Management. More information on the services available through

Cetera Investment Advisors, LLC may be found in their firm brochure, available upon request from Mr. Eichenwald.

Mr. Eichenwald is a Notary. The location of the business is 1610 Wynkoop St, Ste 550, Denver, CO 80202.

Mr. Eichenwald is a 15% owner in a firm that manufactures pallets that fit on dolly’s, Dolly Pal. Dolly Pal’s headquarters is located at 7253 S Chase Way, Littleton, CO 80123. Mr. Eichenwald does not currently receive compensation from Dolly Pal and spends zero hours per month on this activity.

Mr. Eichenwald is the sole owner of 723 Logan Street, LLC. 723 Logan Street, LLC is located at 723 Logan Street, Denver, CO 80203. This LLC is set up solely for the purpose of owning real estate. Mr. Eichenwald currently does not receive compensation from this activity and spends zero hours per month with this business.

Mr. Eichenwald is a partner of EOP Enterprises located at 1610 Wynkoop St, Ste 550 Denver, CO, 80202. At EOP Mr. Eichenwald performs information technology and communications consulting services to the financial industry. Mr. Eichenwald spends approximately five hours per month with this business.

Mr. Eichenwald is a partner of DB Enterprises located at 2920 Vallejo St, Denver, CO 80211. DB Enterprises is a partnership that owns a barbershop. Mr. Eichenwald spends 0 hours per month with this business.

ITEM 5 - ADDITIONAL COMPENSATION

Mr. Eichenwald may also receive incentive-based non-cash compensation in the form of additional compensation or reimbursement arrangements which may include payments in connection with events, conferences or seminars, sales or training programs, trips (which may include travel, lodging and meals), and/or in the form of entertainment, merchandise or other benefits. While non-cash compensation programs are designed to encourage IARs and to consider and recommend certain products of investments, the conferences, seminars and training programs provided by such non-cash compensation arrangements help IARs stay current with changing products and economic issues. Such training may ultimately position IARs with resources to help serve their clients’ financial needs. Although non-cash compensation payments may create a conflict of interest, based on current fiduciary and suitability standards, Mr. Eichenwald is required to make recommendations appropriate to each client’s individual needs and objectives.

ITEM 6 - SUPERVISION

Mr. Eichenwald is supervised through a compliance program designed to prevent and detect violations of the federal and state securities laws. Supervision is conducted by the Chief Compliance Officer, Brandon Drespling, who is responsible for administering the policies and procedures. Mr. Drespling reviews those policies and procedures annually for their adequacy and the effectiveness of their implementation.

Brandon Drespling Chief Compliance Officer

(720) 399-5555 [email protected]


Brandon Drespling



The Brochure Supplement provides information about Brandon Drespling that supplements Triumph Capital Management’s Brochure. You should have received a copy of the Brochure. Please contact Brandon Drespling, Chief Compliance Officer, if you did not receive Triumph Capital Management’s brochure of if you have any questions about the contents of this supplement. Mr. Drespling can be reached at (720) 399-5555 or [email protected]. Additional information about Brandon Drespling is available on the SEC’s website at www.adviserinfo.sec.gov. Information can be accessed by using CRD# 6034259.









BRANDON DRESPLING

• Born: 1984


• Westminster College – Bachelor of Business Administration – 2008

• Successfully completed the General Securities Principal (Series 24), General Securities








Representative 2013 – 2015 J.P. Turner & Company Capital Management, LLC,

Investment Advisor Representative


Mr. Drespling has no history of any legal or disciplinary events that deem to be material to a client’s consideration of Mr. Drespling to act as their investment adviser representative. FINRA’s BrokerCheck may have additional information regarding the disciplinary history of Mr. Drespling that is not included in this brochure supplement. (http://brokercheck.finra.org/Support/TermsAndConditions.aspx)


Mr. Drespling is a registered representative of Summit Brokerage Services, Inc., a securities broker/dealer, and a member of the Financial Industry Regulatory Authority, Inc. Brokerage services through Summit Brokerage, Inc. are marketed using the name Triumph Capital, LLC. Triumph Capital, LLC is an independent firm and is not affiliated with Summit Brokerage Services, Inc. Advisory services are offered through Triumph Capital Management, a registered investment advisor.


As a broker-dealer, SBS engages in a broad range of activities normally associated with securities brokerage firms. Pursuant to the investment advice given by Mr. Drespling, investments in securities will be recommended for you. If SBS is selected as the broker-dealer, it will affect transactions in securities for you, a client of Triumph Capital Management and Mr. Drespling. By serving as the broker dealer, SBS and Mr. Drespling will receive commissions for executing securities transactions.

You are advised that if SBS is selected as the broker-dealer, the transaction charges may be higher or lower than the charges you may pay if the transactions were executed at other broker-dealers. You should note, however, that you have the right to not purchase securities through Mr. Drespling, Triumph Capital Management or SBS.

Mr. Drespling will provide advice regarding investment company securities. You should be aware that, in addition to the advisory fees paid by you, each investment company also charges its own separate investment advisory fees and other expenses (internal management fees). In addition, you should be aware that mutual funds may be purchased separately independent of the investment management services of Triumph Capital Management.

Mr. Drespling, in his capacity as registered representatives of SBS, receives commissions, 12(b)-1 fees, trails, or other compensation from the respective product sponsors and/or as a result of effecting securities transactions for you. However, you should note that you have the right to not purchase any investment products through Mr. Drespling. On advisory accounts through Triumph Capital Management, Mr. Drespling will not receive any other compensation.

Mr. Drespling is also an IAR of Summit Financial Group, and can offer a variety of advisory programs and services through Summit Financial Group in addition to the advisory services he can offer through Triumph Capital Management. Summit Financial Group is an affiliated RIA of Summit Brokerage Services, Inc. More Information on the services available through Summit Financial Group may be found in their firm brochure, available upon request from Mr. Drespling.

Mr. Drespling is also an IAR of Cetera Investment Advisors, LLC, and can offer a variety of advisory programs and services through Cetera Investment Advisors, LLC in addition to the advisory services he is able to offer through Triumph Capital Management. More information on the services available through Cetera Investment Advisors, LLC may be found in their firm brochure, available upon request from Mr. Drespling.

Mr. Drespling is a partner of DB Enterprises located at 2920 Vallejo St, Denver, CO 80211. DB Enterprises is a partnership that owns a barbershop. Mr. Drespling spends 0 hours per month with this business.


Mr. Drespling may also receive incentive-based non-cash compensation in the form of additional compensation or reimbursement arrangements which may include payments in connection with events, conferences or seminars, sales or training programs, trips (which may include travel, lodging and meals), and/or in the form of entertainment, merchandise or other benefits. While non-cash compensation programs are designed to encourage IARs and to consider and recommend certain products of investments, the conferences, seminars and training programs provided by such non-cash compensation

arrangements help IARs stay current with changing products and economic issues. Such training may ultimately position IARs with resources to help serve their clients’ financial needs. Although non-cash compensation payments may create a conflict of interest, based on current fiduciary and suitability standards, Mr. Drespling is required to make recommendations appropriate to each client’s individual needs and objectives.


Mr. Drespling is supervised through a compliance program designed to prevent and detect violations of the federal and state securities laws. Supervision is conducted by Derek Eichenwald. Mr. Eichenwald reviews those policies and procedures annually for their adequacy and the effectiveness of their implementation.

Derek Eichenwald CEO (720) 399-5555 [email protected]


Griffin Kirsch


May 23, 2017 Form ADV, 2B

The Brochure Supplement provides information about Griffin Kirsch that supplements Triumph Capital Management’s Brochure. You should have received a copy of the Brochure. Please contact Brandon Drespling, Chief Compliance Officer, if you did not receive Triumph Capital Management’s brochure of if you have any questions about the contents of this supplement. Mr. Drespling can be reached at (720) 399-5555 or [email protected]. Additional information about Griffin Kirsch is available on the SEC’s website at www.adviserinfo.sec.gov. Information can be accessed by using CRD# 6388640.

Reno, NV Branch 1 East Liberty Street, Suite 505

Reno, NV 89501 Phone: 775-354-6622

Triumph Capital Management Headquarters

1610 Wynkoop Street, Suite 550, Denver, CO 80202 Phone: 720-399-5555 | Fax: 720-399-5560

Email: [email protected] Website: www.TriumphCapitalManagement.com






GRIFFIN KIRSCH

• Born: 1991


• University of Nevada, Reno – Bachelor Degree: Business/Finance/Accounting – 2014

• Successfully completed the General Securities Representative (Series 7) and the Uniform

Combined State Law Examination (Series 66)




Represenative 2014 – 2017 Edward Jones, Registered

Representative/Investment Advisor Representative

2013 Guild Mortgage: Sales/Marketing 2004 – 2014 Sportif USA: Trade Show Exhibitor


Mr. Kirsch has no history of any legal or disciplinary events that deem to be material to a client’s consideration of Mr. Kirsch to act as their investment adviser representative. FINRA’s BrokerCheck may have additional information regarding the disciplinary history of Mr. Kirsch that is not included in this brochure supplement. (http://brokercheck.finra.org/Support/TermsAndConditions.aspx)


Mr. Kirsch is a registered representative of Summit Brokerage Services, Inc., a securities broker/dealer, and a member of the Financial Industry Regulatory Authority, Inc. Brokerage services through Summit Brokerage, Inc. are marketed using the name Triumph Capital, LLC. Triumph Capital, LLC is an independent firm and is not affiliated with Summit Brokerage Services, Inc. Advisory services are offered through Triumph Capital Management, a registered investment advisor

As a broker-dealer, SBS engages in a broad range of activities normally associated with securities brokerage firms. Pursuant to the investment advice given by Mr. Kirsch, investments in securities will be recommended for you. If SBS is selected as the broker-dealer, it will affect transactions in securities for


you, a client of Triumph Capital Management and Mr. Kirsch. By serving as the broker dealer, SBS and Mr. Kirsch will receive commissions for executing securities transactions.

You are advised that if SBS is selected as the broker-dealer, the transaction charges may be higher or lower than the charges you may pay if the transactions were executed at other broker-dealers. You should note, however, that you have the right to not purchase securities through Mr. Kirsch, Triumph Capital Management or SBS.

Mr. Kirsch holds an insurance license to sell insurance and does so through his registration with Summit Brokerage Services, Inc., as well as holding appointments directly with various insurance companies. Mr. Kirsch spends less than 10% of his time providing insurance products. Commissions may be earned by Mr. Kirsch if insurance products are purchased through insurance companies. This may or may not create a conflict of interest.

Mr. Kirsch will provide advice regarding investment company securities. You should be aware that, in addition to the advisory fees paid by you, each investment company also charges its own separate investment advisory fees and other expenses (internal management fees). In addition, you should be aware that mutual funds may be purchased separately independent of the investment management services of Triumph Capital Management.

Mr. Kirsch, in his capacity as registered representatives of SBS, or agents appointed with various life, disability, or other insurance companies, receives commissions, 12(b)-1 fees, trails, or other compensation from the respective product sponsors and/or as a result of effecting securities transactions for you. However, you should note that you have the right to not purchase any investment products through Mr. Kirsch. On advisory accounts through Triumph Capital Management, Mr. Kirsch will not receive any other compensation.


Mr. Kirsch may also receive incentive-based non-cash compensation in the form of additional compensation or reimbursement arrangements which may include payments in connection with events, conferences or seminars, sales or training programs, trips (which may include travel, lodging and meals), and/or in the form of entertainment, merchandise or other benefits. While non-cash compensation programs are designed to encourage IARs and to consider and recommend certain products of investments, the conferences, seminars and training programs provided by such non-cash compensation arrangements help IARs stay current with changing products and economic issues. Such training may ultimately position IARs with resources to help serve their clients’ financial needs. Although non-cash compensation payments may create a conflict of interest, based on current fiduciary and suitability standards, Mr. Kirsch is required to make recommendations appropriate to each client’s individual needs and objectives.


Mr. Kirsch is supervised through a compliance program designed to prevent and detect violations of the federal and state securities laws. Supervision is conducted by the Chief Compliance Officer, Brandon

Drespling, who is responsible for administering the policies and procedures. Mr. Drespling reviews those policies and procedures annually for their adequacy and the effectiveness of their implementation.

Brandon Drespling Chief Compliance Officer (720) 399-5555 [email protected]


Andrew Hoffmeyer



The Brochure Supplement provides information about Andrew Hoffmeyer that supplements Triumph Capital Management’s Brochure. You should have received a copy of the Brochure. Please contact Brandon Drespling, Chief Compliance Officer, if you did not receive Triumph Capital Management’s brochure of if you have any questions about the contents of this supplement. Mr. Drespling can be reached at (720) 399-5555 or [email protected]. Additional information about Andrew Hoffmeyer is available on the SEC’s website at www.adviserinfo.sec.gov. Information can be accessed by using CRD# 5099694.

Fort Collins, CO Branch 3711 John F. Kennedy Pkwy, Suite 230

Fort Collins, CO 80525 Phone: 970-821-8500

Triumph Capital Management Headquarters 1610 Wynkoop Street, Suite 550, Denver, CO 80202








ANDREW HOFFMEYER

• Born: 1983


• Colorado State University – Bachelor Degree: Finance – 2005

• Successfully completed the Investment Company Products/Variable Contracts Representative

(Series 6), General Securities Representative (Series 7), Uniform Securities Agent State Law

Examination (Series 63), Uniform Investment Adviser Law Examination (Series 65)


• Chartered Retirement Planning Counselor – CRPC

*The CRPC professional designation is obtained by completing an online instructor led or self-study course and final exam. There are no prerequisites. The designation requires 16 hours of continuing education every 2 years.







Representative 2012 – 2015 J.P. Turner Capital Management, LLC, Investment

Advisor Representative 2010 – 2012 BrokersXpress, LLC, Registered Representative


Mr. Hoffmeyer has no history of any legal or disciplinary events that deem to be material to a client’s consideration of Mr. Hoffmeyer to act as their investment adviser representative. FINRA’s BrokerCheck may have additional information regarding the disciplinary history of Mr. Hoffmeyer that is not included in this brochure supplement. (http://brokercheck.finra.org/Support/TermsAndConditions.aspx)



Mr. Hoffmeyer is a registered representative of Summit Brokerage Services, Inc., a securities broker/dealer, and a member of the Financial Industry Regulatory Authority, Inc. Brokerage services through Summit Brokerage, Inc. are marketed using the name Triumph Capital, LLC. Triumph Capital, LLC is an independent firm and is not affiliated with Summit Brokerage Services, Inc. Advisory services are offered through Triumph Capital Management, a registered investment advisor

As a broker-dealer, SBS engages in a broad range of activities normally associated with securities brokerage firms. Pursuant to the investment advice given by Mr. Hoffmeyer, investments in securities will be recommended for you. If SBS is selected as the broker-dealer, it will affect transactions in securities for you, a client of Triumph Capital Management and Mr. Hoffmeyer. By serving as the broker dealer, SBS and Mr. Hoffmeyer will receive commissions for executing securities transactions.

You are advised that if SBS is selected as the broker-dealer, the transaction charges may be higher or lower than the charges you may pay if the transactions were executed at other broker-dealers. You should note, however, that you have the right to not purchase securities through Mr. Hoffmeyer, Triumph Capital Management or SBS.

Mr. Hoffmeyer holds an insurance license to sell insurance and does so through his registration with Summit Brokerage Services, Inc., as well as holding appointments directly with various insurance companies. Mr. Hoffmeyer spends less than 10% of his time providing insurance products. Commissions may be earned by Mr. Hoffmeyer if insurance products are purchased through insurance companies. This may or may not create a conflict of interest.

Mr. Hoffmeyer will provide advice regarding investment company securities. You should be aware that, in addition to the advisory fees paid by you, each investment company also charges its own separate investment advisory fees and other expenses (internal management fees). In addition, you should be aware that mutual funds may be purchased separately independent of the investment management services of Triumph Capital Management.

Mr. Hoffmeyer, in his capacity as registered representatives of SBS, or agents appointed with various life, disability, or other insurance companies, receives commissions, 12(b)-1 fees, trails, or other compensation from the respective product sponsors and/or as a result of effecting securities transactions for you. However, you should note that you have the right to not purchase any investment products through Mr. Hoffmeyer. On advisory accounts through Triumph Capital Management, Mr. Hoffmeyer will not receive any other compensation.

Mr. Hoffmeyer is also an IAR of Summit Financial Group, and can offer a variety of advisory programs and services through Summit Financial Group in addition to the advisory services he can offer through Triumph Capital Management. Summit Financial Group is an affiliated RIA of Summit Brokerage Services, Inc. More Information on the services available through Summit Financial Group may be found in their firm brochure, available upon request from Mr. Hoffmeyer.

Mr. Hoffmeyer is also an IAR of Cetera Investment Advisors, LLC, and can offer a variety of advisory programs and services through Cetera Investment Advisors, LLC in addition to the advisory services he is able to offer through Triumph Capital Management. More information on the services available through

Cetera Investment Advisors, LLC may be found in their firm brochure, available upon request from Mr. Hoffmeyer.


Mr. Hoffmeyer may also receive incentive-based non-cash compensation in the form of additional compensation or reimbursement arrangements which may include payments in connection with events, conferences or seminars, sales or training programs, trips (which may include travel, lodging and meals), and/or in the form of entertainment, merchandise or other benefits. While non-cash compensation programs are designed to encourage IARs and to consider and recommend certain products of investments, the conferences, seminars and training programs provided by such non-cash compensation arrangements help IARs stay current with changing products and economic issues. Such training may ultimately position IARs with resources to help serve their clients’ financial needs. Although non-cash compensation payments may create a conflict of interest, based on current fiduciary and suitability standards, Mr. Hoffmeyer is required to make recommendations appropriate to each client’s individual needs and objectives.


Mr. Hoffmeyer is supervised through a compliance program designed to prevent and detect violations of the federal and state securities laws. Supervision is conducted by the Chief Compliance Officer, Brandon Drespling, who is responsible for administering the policies and procedures. Mr. Drespling reviews those policies and procedures annually for their adequacy and the effectiveness of their implementation.



Brian Konty Form ADV, 2B

Brochure Supplement


The Brochure Supplement provides information about Brian Konty that supplements Triumph Capital Management’s Brochure. You should have received a copy of the Brochure. Please contact Brandon Drespling, Chief Compliance Officer, if you did not receive Triumph Capital Management’s brochure of if you have any questions about the contents of this supplement. Mr. Drespling can be reached at (720) 399-5555 or [email protected]. Additional information about Brian Konty is available on the SEC’s website at www.adviserinfo.sec.gov. Information can be accessed by using CRD# 4501331.

Canon City, CO Branch 1315 Royal Gorge Blvd. Canon City, CO 81212 Phone: 719-269-3389

Triumph Capital Management Headquarters 1610 Wynkoop Street, Suite 550, Denver, CO 80202








BRIAN KONTY

• Born: 1975


• University of Southern Colorado – Bachelor Degree: Accounting – 2002

• Successfully complete the General Securities Principal (Series 24), General Securities








Adviser Representative 2015 J.P. Turner & Company, LLC, Registered

Representative 2015 J.P. Turner Capital Management, LLC, Investment

Advisor Representative 2002 – 2015 AXA Advisors, Registered Representative


Mr. Konty has no history of any legal or disciplinary events that deem to be material to a client’s consideration of Mr. Konty to act as their investment adviser representative. FINRA’s BrokerCheck may have additional information regarding the disciplinary history of Mr. Konty that is not included in this brochure supplement. (http://brokercheck.finra.org/Support/TermsAndConditions.aspx)


Mr. Konty is a registered representative of Summit Brokerage Services, Inc., a securities broker/dealer, and a member of the Financial Industry Regulatory Authority, Inc. Brokerage services through Summit Brokerage, Inc. are marketed using the name Triumph Capital, LLC. Triumph Capital, LLC is an


independent firm and is not affiliated with Summit Brokerage Services, Inc. Advisory services are offered through Triumph Capital Management, a registered investment advisor

As a broker-dealer, SBS engages in a broad range of activities normally associated with securities brokerage firms. Pursuant to the investment advice given by Mr. Konty, investments in securities will be recommended for you. If SBS is selected as the broker-dealer, it will affect transactions in securities for you, a client of Triumph Capital Management and Mr. Konty. By serving as the broker dealer, SBS and Mr. Konty will receive commissions for executing securities transactions.

You are advised that if SBS is selected as the broker-dealer, the transaction charges may be higher or lower than the charges you may pay if the transactions were executed at other broker-dealers. You should note, however, that you have the right to not purchase securities through Mr. Konty, Triumph Capital Management or SBS.

Mr. Konty holds an insurance license to sell insurance and does so through his registration with Summit Brokerage Services, Inc., as well as holding appointments directly with various insurance companies. Mr. Konty spends less than 10% of his time providing insurance products. Commissions may be earned by Mr. Konty if insurance products are purchased through insurance companies. This may or may not create a conflict of interest.

Mr. Konty will provide advice regarding investment company securities. You should be aware that, in addition to the advisory fees paid by you, each investment company also charges its own separate investment advisory fees and other expenses (internal management fees). In addition, you should be aware that mutual funds may be purchased separately independent of the investment management services of Triumph Capital Management.

Mr. Konty, in his capacity as registered representatives of SBS, or agents appointed with various life, disability, or other insurance companies, receives commissions, 12(b)-1 fees, trails, or other compensation from the respective product sponsors and/or as a result of effecting securities transactions for you. However, you should note that you have the right to not purchase any investment products through Mr. Konty. On advisory accounts through Triumph Capital Management, Mr. Konty will not receive any other compensation.

Mr. Konty is also an IAR of Summit Financial Group, and can offer a variety of advisory programs and services through Summit Financial Group in addition to the advisory services he can offer through Triumph Capital Management. Summit Financial Group is an affiliated RIA of Summit Brokerage Services, Inc. More Information on the services available through Summit Financial Group may be found in their firm brochure, available upon request from Mr. Konty.

Mr. Konty is also an IAR of Cetera Investment Advisors, LLC, and can offer a variety of advisory programs and services through Cetera Investment Advisors, LLC in addition to the advisory services he is able to offer through Triumph Capital Management. More information on the services available through Cetera Investment Advisors, LLC may be found in their firm brochure, available upon request from Mr. Konty.


Mr. Konty may also receive incentive-based non-cash compensation in the form of additional compensation or reimbursement arrangements which may include payments in connection with events, conferences or seminars, sales or training programs, trips (which may include travel, lodging and meals), and/or in the form of entertainment, merchandise or other benefits. While non-cash compensation programs are designed to encourage IARs and to consider and recommend certain products of investments, the conferences, seminars and training programs provided by such non-cash compensation arrangements help IARs stay current with changing products and economic issues. Such training may ultimately position IARs with resources to help serve their clients’ financial needs. Although non-cash compensation payments may create a conflict of interest, based on current fiduciary and suitability standards, Mr. Konty is required to make recommendations appropriate to each client’s individual needs and objectives.


Mr. Konty is supervised through a compliance program designed to prevent and detect violations of the federal and state securities laws. Supervision is conducted by the Chief Compliance Officer, Brandon Drespling, who is responsible for administering the policies and procedures. Mr. Drespling reviews those policies and procedures annually for their adequacy and the effectiveness of their implementation.



Brian Stark Form ADV, 2B

Brochure Supplement


The Brochure Supplement provides information about Brian Stark that supplements Triumph Capital Management’s Brochure. You should have received a copy of the Brochure. Please contact Brandon Drespling, Chief Compliance Officer, if you did not receive Triumph Capital Management’s brochure of if you have any questions about the contents of this supplement. Mr. Drespling can be reached at (720) 399-5555 or [email protected]. Additional information about Brian Stark is available on the SEC’s website at www.adviserinfo.sec.gov. Information can be accessed by using CRD# 4605676.









BRIAN STARK

• Born: 1977


• Colorado State University – Bachelor’s Degree: Business Administration – 2015

• Successfully complete the General Securities Representative (Series 7) and Uniform Combined

State Law Examination (Series 66)











Mr. Stark has no history of any legal or disciplinary events that deem to be material to a client’s consideration of Mr. Stark to act as their investment adviser representative. FINRA’s BrokerCheck may have additional information regarding the disciplinary history of Mr. Stark that is not included in this brochure supplement. (http://brokercheck.finra.org/Support/TermsAndConditions.aspx)


Mr. Stark is a registered representative of Summit Brokerage Services, Inc., a securities broker/dealer, and a member of the Financial Industry Regulatory Authority, Inc. Brokerage services through Summit Brokerage, Inc. are marketed using the name Triumph Capital, LLC. Triumph Capital, LLC is an



As a broker-dealer, SBS engages in a broad range of activities normally associated with securities brokerage firms. Pursuant to the investment advice given by Mr. Stark, investments in securities will be recommended for you. If SBS is selected as the broker-dealer, it will affect transactions in securities for you, a client of Triumph Capital Management and Mr. Stark. By serving as the broker dealer, SBS and Mr. Stark will receive commissions for executing securities transactions.

You are advised that if SBS is selected as the broker-dealer, the transaction charges may be higher or lower than the charges you may pay if the transactions were executed at other broker-dealers. You should note, however, that you have the right to not purchase securities through Mr. Stark, Triumph Capital Management or SBS.

Mr. Stark holds an insurance license to sell insurance and does so through his registration with Summit Brokerage Services, Inc., as well as holding appointments directly with various insurance companies. Mr. Stark spends less than 10% of his time providing insurance products. Commissions may be earned by Mr. Stark if insurance products are purchased through insurance companies. This may or may not create a conflict of interest.

Mr. Stark will provide advice regarding investment company securities. You should be aware that, in addition to the advisory fees paid by you, each investment company also charges its own separate investment advisory fees and other expenses (internal management fees). In addition, you should be aware that mutual funds may be purchased separately independent of the investment management services of Triumph Capital Management.

Mr. Stark, in his capacity as registered representatives of SBS, or agents appointed with various life, disability, or other insurance companies, receives commissions, 12(b)-1 fees, trails, or other compensation from the respective product sponsors and/or as a result of effecting securities transactions for you. However, you should note that you have the right to not purchase any investment products through Mr. Stark. On advisory accounts through Triumph Capital Management, Mr. Stark will not receive any other compensation.

Mr. Stark is also an IAR of Summit Financial Group, and can offer a variety of advisory programs and services through Summit Financial Group in addition to the advisory services he can offer through Triumph Capital Management. Summit Financial Group is an affiliated RIA of Summit Brokerage Services, Inc. More Information on the services available through Summit Financial Group may be found in their firm brochure, available upon request from Mr. Stark.

Mr. Stark is also an IAR of Cetera Investment Advisors, LLC, and can offer a variety of advisory programs and services through Cetera Investment Advisors, LLC in addition to the advisory services he is able to offer through Triumph Capital Management. More information on the services available through Cetera Investment Advisors, LLC may be found in their firm brochure, available upon request from Mr. Stark.


Mr. Stark may also receive incentive-based non-cash compensation in the form of additional compensation or reimbursement arrangements which may include payments in connection with events, conferences or seminars, sales or training programs, trips (which may include travel, lodging and meals), and/or in the form of entertainment, merchandise or other benefits. While non-cash compensation programs are designed to encourage IARs and to consider and recommend certain products of investments, the conferences, seminars and training programs provided by such non-cash compensation arrangements help IARs stay current with changing products and economic issues. Such training may ultimately position IARs with resources to help serve their clients’ financial needs. Although non-cash compensation payments may create a conflict of interest, based on current fiduciary and suitability standards, Mr. Stark is required to make recommendations appropriate to each client’s individual needs and objectives.


Mr. Stark is supervised through a compliance program designed to prevent and detect violations of the federal and state securities laws. Supervision is conducted by the Chief Compliance Officer, Brandon Drespling, who is responsible for administering the policies and procedures. Mr. Drespling reviews those policies and procedures annually for their adequacy and the effectiveness of their implementation.



Cory Robinson



The Brochure Supplement provides information about Cory Robinson that supplements Triumph Capital Management’s Brochure. You should have received a copy of the Brochure. Please contact Brandon Drespling, Chief Compliance Officer, if you did not receive Triumph Capital Management’s brochure of if you have any questions about the contents of this supplement. Mr. Drespling can be reached at (720) 399-5555 or [email protected]. Additional information about Cory Robinson is available on the SEC’s website at www.adviserinfo.sec.gov. Information can be accessed by using CRD# 5278036.









CORY ROBINSON

• Born: 1984


• University of Wisconsin, Whitewater – Bachelor Degree: Finance, emphasis in Financial Planning –

2006



• Insurance Licenses: Life, Health, Variable










Mr. Robinson has no history of any legal or disciplinary events that deem to be material to a client’s consideration of Mr. Robinson to act as their investment adviser representative. FINRA’s BrokerCheck may have additional information regarding the disciplinary history of Mr. Robinson that is not included in this brochure supplement. (http://brokercheck.finra.org/Support/TermsAndConditions.aspx)


Mr. Robinson is a registered representative of Summit Brokerage Services, Inc., a securities broker/dealer, and a member of the Financial Industry Regulatory Authority, Inc. Brokerage services through Summit


Brokerage, Inc. are marketed using the name Triumph Capital, LLC. Triumph Capital, LLC is an independent firm and is not affiliated with Summit Brokerage Services, Inc. Advisory services are offered through Triumph Capital Management, a registered investment advisor

As a broker-dealer, SBS engages in a broad range of activities normally associated with securities brokerage firms. Pursuant to the investment advice given by Mr. Robinson, investments in securities will be recommended for you. If SBS is selected as the broker-dealer, it will affect transactions in securities for you, a client of Triumph Capital Management and Mr. Robinson. By serving as the broker dealer, SBS and Mr. Robinson will receive commissions for executing securities transactions.

You are advised that if SBS is selected as the broker-dealer, the transaction charges may be higher or lower than the charges you may pay if the transactions were executed at other broker-dealers. You should note, however, that you have the right to not purchase securities through Mr. Robinson, Triumph Capital Management or SBS.

Mr. Robinson holds an insurance license to sell insurance and does so through his registration with Summit Brokerage Services, Inc., as well as holding appointments directly with various insurance companies. Mr. Robinson spends less than 10% of his time providing insurance products. Commissions may be earned by Mr. Robinson if insurance products are purchased through insurance companies. This may or may not create a conflict of interest.

Mr. Robinson will provide advice regarding investment company securities. You should be aware that, in addition to the advisory fees paid by you, each investment company also charges its own separate investment advisory fees and other expenses (internal management fees). In addition, you should be aware that mutual funds may be purchased separately independent of the investment management services of Triumph Capital Management.

Mr. Robinson, in his capacity as registered representatives of SBS, or agents appointed with various life, disability, or other insurance companies, receives commissions, 12(b)-1 fees, trails, or other compensation from the respective product sponsors and/or as a result of effecting securities transactions for you. However, you should note that you have the right to not purchase any investment products through Mr. Robinson. On advisory accounts through Triumph Capital Management, Mr. Robinson will not receive any other compensation.

Mr. Robinson is also an IAR of Summit Financial Group, and can offer a variety of advisory programs and services through Summit Financial Group in addition to the advisory services he can offer through Triumph Capital Management. Summit Financial Group is an affiliated RIA of Summit Brokerage Services, Inc. More Information on the services available through Summit Financial Group may be found in their firm brochure, available upon request from Mr. Robinson.

Mr. Robinson is also an IAR of Cetera Investment Advisors, LLC, and can offer a variety of advisory programs and services through Cetera Investment Advisors, LLC in addition to the advisory services he is able to offer through Triumph Capital Management. More information on the services available through Cetera Investment Advisors, LLC may be found in their firm brochure, available upon request from Mr. Robinson.


Mr. Robinson may also receive incentive-based non-cash compensation in the form of additional compensation or reimbursement arrangements which may include payments in connection with events, conferences or seminars, sales or training programs, trips (which may include travel, lodging and meals), and/or in the form of entertainment, merchandise or other benefits. While non-cash compensation programs are designed to encourage IARs and to consider and recommend certain products of investments, the conferences, seminars and training programs provided by such non-cash compensation arrangements help IARs stay current with changing products and economic issues. Such training may ultimately position IARs with resources to help serve their clients’ financial needs. Although non-cash compensation payments may create a conflict of interest, based on current fiduciary and suitability standards, Mr. Robinson is required to make recommendations appropriate to each client’s individual needs and objectives.


Mr. Robinson is supervised through a compliance program designed to prevent and detect violations of the federal and state securities laws. Supervision is conducted by the Chief Compliance Officer, Brandon Drespling, who is responsible for administering the policies and procedures. Mr. Drespling reviews those policies and procedures annually for their adequacy and the effectiveness of their implementation.



Daniel Mayer



The Brochure Supplement provides information about Daniel Mayer that supplements Triumph Capital Management’s Brochure. You should have received a copy of the Brochure. Please contact Brandon Drespling, Chief Compliance Officer, if you did not receive Triumph Capital Management’s brochure of if you have any questions about the contents of this supplement. Mr. Drespling can be reached at (720) 399-5555 or [email protected]. Additional information about Daniel Mayer is available on the SEC’s website at www.adviserinfo.sec.gov. Information can be accessed by using CRD# 6373593.









DANIEL MAYER

• Born: 1982


• University of Colorado – Bachelor’s: Film Production – 2005

• University of Kent – Master’s Degree: International Economic Development – 2011

• Successfully completed the General Securities Representative (Series 7) and Uniform Combined










Advisor Representative 2011 – 2013 Spectra Autism Center, Development &

Community Partnerships


Mr. Mayer has no history of any legal or disciplinary events that deem to be material to a client’s consideration of Mr. Mayer to act as their investment adviser representative. FINRA’s BrokerCheck may have additional information regarding the disciplinary history of Mr. Mayer that is not included in this brochure supplement. (http://brokercheck.finra.org/Support/TermsAndConditions.aspx)



Mr. Mayer is a registered representative of Summit Brokerage Services, Inc., a securities broker/dealer, and a member of the Financial Industry Regulatory Authority, Inc. Brokerage services through Summit Brokerage, Inc. are marketed using the name Triumph Capital, LLC. Triumph Capital, LLC is an independent firm and is not affiliated with Summit Brokerage Services, Inc. Advisory services are offered through Triumph Capital Management, a registered investment advisor

As a broker-dealer, SBS engages in a broad range of activities normally associated with securities brokerage firms. Pursuant to the investment advice given by Mr. Mayer, investments in securities will be recommended for you. If SBS is selected as the broker-dealer, it will affect transactions in securities for you, a client of Triumph Capital Management and Mr. Mayer. By serving as the broker dealer, SBS and Mr. Mayer will receive commissions for executing securities transactions.

You are advised that if SBS is selected as the broker-dealer, the transaction charges may be higher or lower than the charges you may pay if the transactions were executed at other broker-dealers. You should note, however, that you have the right to not purchase securities through Mr. Mayer, Triumph Capital Management or SBS.

Mr. Mayer holds an insurance license to sell insurance and does so through his registration with Summit Brokerage Services, Inc., as well as holding appointments directly with various insurance companies. Mr. Mayer spends less than 10% of his time providing insurance products. Commissions may be earned by Mr. Mayer if insurance products are purchased through insurance companies. This may or may not create a conflict of interest.

Mr. Mayer will provide advice regarding investment company securities. You should be aware that, in addition to the advisory fees paid by you, each investment company also charges its own separate investment advisory fees and other expenses (internal management fees). In addition, you should be aware that mutual funds may be purchased separately independent of the investment management services of Triumph Capital Management.

Mr. Mayer, in his capacity as registered representatives of SBS, or agents appointed with various life, disability, or other insurance companies, receives commissions, 12(b)-1 fees, trails, or other compensation from the respective product sponsors and/or as a result of effecting securities transactions for you. However, you should note that you have the right to not purchase any investment products through Mr. Mayer. On advisory accounts through Triumph Capital Management, Mr. Mayer will not receive any other compensation.

Mr. Mayer is also an IAR of Summit Financial Group, and can offer a variety of advisory programs and services through Summit Financial Group in addition to the advisory services he can offer through Triumph Capital Management. Summit Financial Group is an affiliated RIA of Summit Brokerage Services, Inc. More Information on the services available through Summit Financial Group may be found in their firm brochure, available upon request from Mr. Mayer.

Mr. Mayer is also an IAR of Cetera Investment Advisors, LLC, and can offer a variety of advisory programs and services through Cetera Investment Advisors, LLC in addition to the advisory services he is able to offer through Triumph Capital Management. More information on the services available through Cetera Investment Advisors, LLC may be found in their firm brochure, available upon request from Mr. Mayer.


Mr. Mayer may also receive incentive-based non-cash compensation in the form of additional compensation or reimbursement arrangements which may include payments in connection with events, conferences or seminars, sales or training programs, trips (which may include travel, lodging and meals), and/or in the form of entertainment, merchandise or other benefits. While non-cash compensation programs are designed to encourage IARs and to consider and recommend certain products of investments, the conferences, seminars and training programs provided by such non-cash compensation arrangements help IARs stay current with changing products and economic issues. Such training may ultimately position IARs with resources to help serve their clients’ financial needs. Although non-cash compensation payments may create a conflict of interest, based on current fiduciary and suitability standards, Mr. Mayer is required to make recommendations appropriate to each client’s individual needs and objectives.


Mr. Mayer is supervised through a compliance program designed to prevent and detect violations of the federal and state securities laws. Supervision is conducted by the Chief Compliance Officer, Brandon Drespling, who is responsible for administering the policies and procedures. Mr. Drespling reviews those policies and procedures annually for their adequacy and the effectiveness of their implementation.



James Peters



The Brochure Supplement provides information about James Peters that supplements Triumph Capital Management’s Brochure. You should have received a copy of the Brochure. Please contact Brandon Drespling, Chief Compliance Officer, if you did not receive Triumph Capital Management’s brochure of if you have any questions about the contents of this supplement. Mr. Drespling can be reached at (720) 399-5555 or [email protected]. Additional information about James Peters is available on the SEC’s website at www.adviserinfo.sec.gov. Information can be accessed by using CRD# 5113934.









JAMES PETERS

• Born: 1983


• Ohio University – Bachelor’s Degree: Finance – 2006

• Successfully completed the General Securities Representative (Series 7) and Uniform Combined



• Certified Wealth Strategist – CWS

*The Certified Wealth Strategist designation is obtained by completing two instructor-led training sessions, self-directed study on numerous wealth management issues, and a capstone project. Three years of experience in the financial services industry that must also include direct interaction with clients and a 4-year degree are also required.










Mr. Peters has no history of any legal or disciplinary events that deem to be material to a client’s consideration of Mr. Peters to act as their investment adviser representative. FINRA’s BrokerCheck may have additional information regarding the disciplinary history of Mr. Peters that is not included in this brochure supplement. (http://brokercheck.finra.org/Support/TermsAndConditions.aspx)



Mr. Peters is a registered representative of Summit Brokerage Services, Inc., a securities broker/dealer, and a member of the Financial Industry Regulatory Authority, Inc. Brokerage services through Summit Brokerage, Inc. are marketed using the name Triumph Capital, LLC. Triumph Capital, LLC is an independent firm and is not affiliated with Summit Brokerage Services, Inc. Advisory services are offered through Triumph Capital Management, a registered investment advisor

As a broker-dealer, SBS engages in a broad range of activities normally associated with securities brokerage firms. Pursuant to the investment advice given by Mr. Peters, investments in securities will be recommended for you. If SBS is selected as the broker-dealer, it will affect transactions in securities for you, a client of Triumph Capital Management and Mr. Peters. By serving as the broker dealer, SBS and Mr. Peters will receive commissions for executing securities transactions.

You are advised that if SBS is selected as the broker-dealer, the transaction charges may be higher or lower than the charges you may pay if the transactions were executed at other broker-dealers. You should note, however, that you have the right to not purchase securities through Mr. Peters, Triumph Capital Management or SBS.

Mr. Peters holds an insurance license to sell insurance and does so through his registration with Summit Brokerage Services, Inc., as well as holding appointments directly with various insurance companies. Mr. Peters spends less than 10% of his time providing insurance products. Commissions may be earned by Mr. Peters if insurance products are purchased through insurance companies. This may or may not create a conflict of interest.

Mr. Peters will provide advice regarding investment company securities. You should be aware that, in addition to the advisory fees paid by you, each investment company also charges its own separate investment advisory fees and other expenses (internal management fees). In addition, you should be aware that mutual funds may be purchased separately independent of the investment management services of Triumph Capital Management.

Mr. Peters, in his capacity as registered representatives of SBS, or agents appointed with various life, disability, or other insurance companies, receives commissions, 12(b)-1 fees, trails, or other compensation from the respective product sponsors and/or as a result of effecting securities transactions for you. However, you should note that you have the right to not purchase any investment products through Mr. Peters. On advisory accounts through Triumph Capital Management, Mr. Peters will not receive any other compensation.

Mr. Peters is also an IAR of Summit Financial Group, and can offer a variety of advisory programs and services through Summit Financial Group in addition to the advisory services he can offer through Triumph Capital Management. Summit Financial Group is an affiliated RIA of Summit Brokerage Services, Inc. More Information on the services available through Summit Financial Group may be found in their firm brochure, available upon request from Mr. Peters.

Mr. Peters is also an IAR of Cetera Investment Advisors, LLC, and can offer a variety of advisory programs and services through Cetera Investment Advisors, LLC in addition to the advisory services he is able to offer through Triumph Capital Management. More information on the services available through Cetera Investment Advisors, LLC may be found in their firm brochure, available upon request from Mr. Peters.


Mr. Peters may also receive incentive-based non-cash compensation in the form of additional compensation or reimbursement arrangements which may include payments in connection with events, conferences or seminars, sales or training programs, trips (which may include travel, lodging and meals), and/or in the form of entertainment, merchandise or other benefits. While non-cash compensation programs are designed to encourage IARs and to consider and recommend certain products of investments, the conferences, seminars and training programs provided by such non-cash compensation arrangements help IARs stay current with changing products and economic issues. Such training may ultimately position IARs with resources to help serve their clients’ financial needs. Although non-cash compensation payments may create a conflict of interest, based on current fiduciary and suitability standards, Mr. Peters is required to make recommendations appropriate to each client’s individual needs and objectives.


Mr. Peters is supervised through a compliance program designed to prevent and detect violations of the federal and state securities laws. Supervision is conducted by the Chief Compliance Officer, Brandon Drespling, who is responsible for administering the policies and procedures. Mr. Drespling reviews those policies and procedures annually for their adequacy and the effectiveness of their implementation.



Gregory Schowe



The Brochure Supplement provides information about Gregory Schowe that supplements Triumph Capital Management’s Brochure. You should have received a copy of the Brochure. Please contact Brandon Drespling, Chief Compliance Officer, if you did not receive Triumph Capital Management’s brochure of if you have any questions about the contents of this supplement. Mr. Drespling can be reached at (720) 399-5555 or [email protected]. Additional information about Gregory Schowe is available on the SEC’s website at www.adviserinfo.sec.gov. Information can be accessed by using CRD# 5472166.









GREGORY SCHOWE

• Born: 1978


• University of Oregon – Bachelor Degree: Business Administration – 2000

• Successfully complete the General Securities Representative (Series 7), Uniform Securities Agent

State Law Examination (Series 63), and Uniform Investment Adviser Law Examination (Series 65)











2008 – 2014 Lotus Group Advisors, Investment Advisor

Representative


Mr. Schowe has no history of any legal or disciplinary events that deem to be material to a client’s consideration of Mr. Schowe to act as their investment adviser representative. FINRA’s BrokerCheck may have additional information regarding the disciplinary history of Mr. Schowe that is not included in this brochure supplement. (http://brokercheck.finra.org/Support/TermsAndConditions.aspx)



Mr. Schowe is a registered representative of Summit Brokerage Services, Inc., a securities broker/dealer, and a member of the Financial Industry Regulatory Authority, Inc. Brokerage services through Summit Brokerage, Inc. are marketed using the name Triumph Capital, LLC. Triumph Capital, LLC is an independent firm and is not affiliated with Summit Brokerage Services, Inc. Advisory services are offered through Triumph Capital Management, a registered investment advisor.

As a broker-dealer, SBS engages in a broad range of activities normally associated with securities brokerage firms. Pursuant to the investment advice given by Mr. Schowe, investments in securities will be recommended for you. If SBS is selected as the broker-dealer, it will affect transactions in securities for you, a client of Triumph Capital Management and Mr. Schowe. By serving as the broker dealer, SBS and Mr. Schowe will receive commissions for executing securities transactions.

You are advised that if SBS is selected as the broker-dealer, the transaction charges may be higher or lower than the charges you may pay if the transactions were executed at other broker-dealers. You should note, however, that you have the right to not purchase securities through Mr. Schowe, Triumph Capital Management or SBS.

Mr. Schowe holds an insurance license to sell insurance and does so through his registration with Summit Brokerage Services, Inc., as well as holding appointments directly with various insurance companies. Mr. Schowe spends less than 10% of his time providing insurance products. Commissions may be earned by Mr. Schowe if insurance products are purchased through insurance companies. This may or may not create a conflict of interest.

Mr. Schowe will provide advice regarding investment company securities. You should be aware that, in addition to the advisory fees paid by you, each investment company also charges its own separate investment advisory fees and other expenses (internal management fees). In addition, you should be aware that mutual funds may be purchased separately independent of the investment management services of Triumph Capital Management.

Mr. Schowe, in his capacity as registered representatives of SBS, or agents appointed with various life, disability, or other insurance companies, receives commissions, 12(b)-1 fees, trails, or other compensation from the respective product sponsors and/or as a result of effecting securities transactions for you. However, you should note that you have the right to not purchase any investment products through Mr. Schowe. On advisory accounts through Triumph Capital Management, Mr. Schowe will not receive any other compensation.

Mr. Schowe is also an IAR of Summit Financial Group, and can offer a variety of advisory programs and services through Summit Financial Group in addition to the advisory services he can offer through Triumph Capital Management. Summit Financial Group is an affiliated RIA of Summit Brokerage Services, Inc. More Information on the services available through Summit Financial Group may be found in their firm brochure, available upon request from Mr. Schowe.

Mr. Schowe is also an IAR of Cetera Investment Advisors, LLC, and can offer a variety of advisory programs and services through Cetera Investment Advisors, LLC in addition to the advisory services he is able to offer through Triumph Capital Management. More information on the services available through Cetera Investment Advisors, LLC may be found in their firm brochure, available upon request from Mr. Schowe.


Mr. Schowe may also receive incentive-based non-cash compensation in the form of additional compensation or reimbursement arrangements which may include payments in connection with events, conferences or seminars, sales or training programs, trips (which may include travel, lodging and meals), and/or in the form of entertainment, merchandise or other benefits. While non-cash compensation programs are designed to encourage IARs and to consider and recommend certain products of investments, the conferences, seminars and training programs provided by such non-cash compensation arrangements help IARs stay current with changing products and economic issues. Such training may ultimately position IARs with resources to help serve their clients’ financial needs. Although non-cash compensation payments may create a conflict of interest, based on current fiduciary and suitability standards, Mr. Schowe is required to make recommendations appropriate to each client’s individual needs and objectives.


Mr. Schowe is supervised through a compliance program designed to prevent and detect violations of the federal and state securities laws. Supervision is conducted by the Chief Compliance Officer, Brandon Drespling, who is responsible for administering the policies and procedures. Mr. Drespling reviews those policies and procedures annually for their adequacy and the effectiveness of their implementation.



Karlie Peterson



The Brochure Supplement provides information about Karlie Peterson that supplements Triumph Capital Management’s Brochure. You should have received a copy of the Brochure. Please contact Brandon Drespling, Chief Compliance Officer, if you did not receive Triumph Capital Management’s brochure of if you have any questions about the contents of this supplement. Mr. Drespling can be reached at (720) 399-5555 or [email protected]. Additional information about Karlie Peterson is available on the SEC’s website at www.adviserinfo.sec.gov. Information can be accessed by using CRD# 6262687.









KARLIE PETERSON

• Born: 1990


• Colorado State University – Business Administration – 2010

• Successfully completed the Uniform Investment Adviser Law Examination (Series 65)



Representative 2011 – 2016 Della Parola Capital Management, Business

Development


Ms. Peterson has no history of any legal or disciplinary events that deem to be material to a client’s consideration of Ms. Peterson to act as their investment adviser representative. FINRA’s BrokerCheck may have additional information regarding the disciplinary history of Ms. Peterson that is not included in this brochure supplement. (http://brokercheck.finra.org/Support/TermsAndConditions.aspx)


Ms. Peterson does not engage in any outside business activity.


Ms. Peterson may also receive incentive-based non-cash compensation in the form of additional compensation or reimbursement arrangements which may include payments in connection with events, conferences or seminars, sales or training programs, trips (which may include travel, lodging and meals), and/or in the form of entertainment, merchandise or other benefits. While non-cash compensation programs are designed to encourage IARs and to consider and recommend certain products of investments, the conferences, seminars and training programs provided by such non-cash compensation arrangements help IARs stay current with changing products and economic issues. Such training may ultimately position IARs with resources to help serve their clients’ financial needs. Although non-cash compensation payments may create a conflict of interest, based on current fiduciary and suitability standards, Ms. Peterson is required to make recommendations appropriate to each client’s individual needs and objectives.



Ms. Peterson is supervised through a compliance program designed to prevent and detect violations of the federal and state securities laws. Supervision is conducted by the Chief Compliance Officer, Brandon Drespling, who is responsible for administering the policies and procedures. Mr. Drespling reviews those policies and procedures annually for their adequacy and the effectiveness of their implementation.



Ryan Cook Form ADV, 2B

Brochure Supplement


The Brochure Supplement provides information about Ryan Cook that supplements Triumph Capital Management’s Brochure. You should have received a copy of the Brochure. Please contact Brandon Drespling, Chief Compliance Officer, if you did not receive Triumph Capital Management’s brochure of if you have any questions about the contents of this supplement. Mr. Drespling can be reached at (720) 399-5555 or [email protected]. Additional information about Ryan Cook is available on the SEC’s website at www.adviserinfo.sec.gov. Information can be accessed by using CRD# 5205183.









RYAN COOK

• Born: 1982


• Colorado Christian University – Bachelor of Business Management and Marketing – 2006

• Successfully complete the Investment Company Products/Variable Contracts (Series 6), General

Securities Representative (Series 7), and Uniform Investment Adviser Law Examination (Series 66)











Mr. Cook has no history of any legal or disciplinary events that deem to be material to a client’s consideration of Mr. Cook to act as their investment adviser representative. FINRA’s BrokerCheck may have additional information regarding the disciplinary history of Mr. Cook that is not included in this brochure supplement. (http://brokercheck.finra.org/Support/TermsAndConditions.aspx)


Mr. Cook is a registered representative of Summit Brokerage Services, Inc., a securities broker/dealer, and a member of the Financial Industry Regulatory Authority, Inc. Brokerage services through Summit Brokerage, Inc. are marketed using the name Triumph Capital, LLC. Triumph Capital, LLC is an



As a broker-dealer, SBS engages in a broad range of activities normally associated with securities brokerage firms. Pursuant to the investment advice given by Mr. Cook, investments in securities will be recommended for you. If SBS is selected as the broker-dealer, it will affect transactions in securities for you, a client of Triumph Capital Management and Mr. Cook. By serving as the broker dealer, SBS and Mr. Cook will receive commissions for executing securities transactions.

You are advised that if SBS is selected as the broker-dealer, the transaction charges may be higher or lower than the charges you may pay if the transactions were executed at other broker-dealers. You should note, however, that you have the right to not purchase securities through Mr. Cook, Triumph Capital Management or SBS.

Mr. Cook holds an insurance license to sell insurance and does so through his registration with Summit Brokerage Services, Inc., as well as holding appointments directly with various insurance companies. Mr. Cook spends less than 10% of his time providing insurance products. Commissions may be earned by Mr. Cook if insurance products are purchased through insurance companies. This may or may not create a conflict of interest.

Mr. Cook will provide advice regarding investment company securities. You should be aware that, in addition to the advisory fees paid by you, each investment company also charges its own separate investment advisory fees and other expenses (internal management fees). In addition, you should be aware that mutual funds may be purchased separately independent of the investment management services of Triumph Capital Management.

Mr. Cook, in his capacity as registered representatives of SBS, or agents appointed with various life, disability, or other insurance companies, receives commissions, 12(b)-1 fees, trails, or other compensation from the respective product sponsors and/or as a result of effecting securities transactions for you. However, you should note that you have the right to not purchase any investment products through Mr. Cook. On advisory accounts through Triumph Capital Management, Mr. Cook will not receive any other compensation.

Mr. Cook is also an IAR of Summit Financial Group, and can offer a variety of advisory programs and services through Summit Financial Group in addition to the advisory services he can offer through Triumph Capital Management. Summit Financial Group is an affiliated RIA of Summit Brokerage Services, Inc. More Information on the services available through Summit Financial Group may be found in their firm brochure, available upon request from Mr. Cook.

Mr. Cook is also an IAR of Cetera Investment Advisors, LLC, and can offer a variety of advisory programs and services through Cetera Investment Advisors, LLC in addition to the advisory services he is able to offer through Triumph Capital Management. More information on the services available through Cetera Investment Advisors, LLC may be found in their firm brochure, available upon request from Mr. Cook.


Mr. Cook may also receive incentive-based non-cash compensation in the form of additional compensation or reimbursement arrangements which may include payments in connection with events, conferences or seminars, sales or training programs, trips (which may include travel, lodging and meals), and/or in the form of entertainment, merchandise or other benefits. While non-cash compensation programs are designed to encourage IARs and to consider and recommend certain products of investments, the conferences, seminars and training programs provided by such non-cash compensation arrangements help IARs stay current with changing products and economic issues. Such training may ultimately position IARs with resources to help serve their clients’ financial needs. Although non-cash compensation payments may create a conflict of interest, based on current fiduciary and suitability standards, Mr. Cook is required to make recommendations appropriate to each client’s individual needs and objectives.


Mr. Cook is supervised through a compliance program designed to prevent and detect violations of the federal and state securities laws. Supervision is conducted by the Chief Compliance Officer, Brandon Drespling, who is responsible for administering the policies and procedures. Mr. Drespling reviews those policies and procedures annually for their adequacy and the effectiveness of their implementation.



Shannon Harris



The Brochure Supplement provides information about Shannon Harris that supplements Triumph Capital Management’s Brochure. You should have received a copy of the Brochure. Please contact Brandon Drespling, Chief Compliance Officer, if you did not receive Triumph Capital Management’s brochure of if you have any questions about the contents of this supplement. Mr. Drespling can be reached at (720) 399-5555 or [email protected]. Additional information about Shannon Harris is available on the SEC’s website at www.adviserinfo.sec.gov. Information can be accessed by using CRD# 5868347.









SHANNON HARRIS

• Born: 1985


• University of Florida – Bachelor’s Degree: Business Finance – 2007

• University of Florida, Levin College of Law – J.D. – 2010

• Successfully complete the Futures Managed Funds Examination (Series 31), General Securities



YEARS EMPLOYMENT 2017 – Present Harris, Guidi, Rosner, Attorney 2017 – Present The McKenzie Law Firm, Attorney 2016 – Present Triumph Capital Management, Investment Adviser

Representative 2013 – Present Mile High Estate Planning, LLC, Attorney

2015 – 2017 Summit Brokerage Services, Inc., Registered Representative

2015 – 2017 Summit Financial Group, Investment Adviser Representative

2015 – 2017 Cetera Investment Advisors, LLC, Investment Adviser Representative

2013 – 2015 J.P. Turner & Company, LLC, Registered Representative

2013 – 2015 JPTCM, Investment Adviser Representative

2010 – 2012 Morgan Stanley Smith Barney, Investment Advisor Representative, Registered Representative


Mr. Harris has no history of any legal or disciplinary events that deem to be material to a client’s consideration of Mr. Harris to act as their investment adviser representative. FINRA’s BrokerCheck may have additional information regarding the disciplinary history of Mr. Harris that is not included in this brochure supplement. (http://brokercheck.finra.org/Support/TermsAndConditions.aspx)



Mr. Harris is an Attorney and provides legal and estate planning advice for Mile High Estate Planning, LLC, and Harris, Guidi, Rosner PA. He does receive compensation for his services at Mile High Estate Planning, LLC, and Harris, Guidi, Rosner PA.


Mr. Harris may also receive incentive-based non-cash compensation in the form of additional compensation or reimbursement arrangements which may include payments in connection with events, conferences or seminars, sales or training programs, trips (which may include travel, lodging and meals), and/or in the form of entertainment, merchandise or other benefits. While non-cash compensation programs are designed to encourage IARs and to consider and recommend certain products of investments, the conferences, seminars and training programs provided by such non-cash compensation arrangements help IARs stay current with changing products and economic issues. Such training may ultimately position IARs with resources to help serve their clients’ financial needs. Although non-cash compensation payments may create a conflict of interest, based on current fiduciary and suitability standards, Mr. Harris is required to make recommendations appropriate to each client’s individual needs and objectives.


Mr. Harris is supervised through a compliance program designed to prevent and detect violations of the federal and state securities laws. Supervision is conducted by the Chief Compliance Officer, Brandon Drespling, who is responsible for administering the policies and procedures. Mr. Drespling reviews those policies and procedures annually for their adequacy and the effectiveness of their implementation.



Shea Winkeller



The Brochure Supplement provides information about Shea Winkeller that supplements Triumph Capital Management’s Brochure. You should have received a copy of the Brochure. Please contact Brandon Drespling, Chief Compliance Officer, if you did not receive Triumph Capital Management’s brochure of if you have any questions about the contents of this supplement. Mr. Drespling can be reached at (720) 399-5555 or [email protected]. Additional information about Shea Winkeller is available on the SEC’s website at www.adviserinfo.sec.gov. Information can be accessed by using CRD# 5111360.









SHEA WINKELLER

• Born: 1979


• Park University – Bachelor’s Degree: Management/Computer Informational System – 2006




• Chartered Financial Consultant – ChFC*

*The ChFC program is administered by the American College, Bryn Mawr, Pennsylvania. This designation has the same core curriculum as the CFP designation, plus two or three additional elective courses that focus on various areas of personal financial planning. In addition to successful completion of an exam on areas of financial planning, including income tax, insurance, investment and estate planning, candidates are required to have a minimum of three years of experience in the financial industry.








Advisor Representative


Mr. Winkeller has no history of any legal or disciplinary events that deem to be material to a client’s consideration of Mr. Winkeller to act as their investment adviser representative. FINRA’s BrokerCheck may have additional information regarding the disciplinary history of Mr. Winkeller that is not included in this brochure supplement. (http://brokercheck.finra.org/Support/TermsAndConditions.aspx)



Mr. Winkeller is a registered representative of Summit Brokerage Services, Inc., a securities broker/dealer, and a member of the Financial Industry Regulatory Authority, Inc. Brokerage services through Summit Brokerage, Inc. are marketed using the name Triumph Capital, LLC. Triumph Capital, LLC is an independent firm and is not affiliated with Summit Brokerage Services, Inc. Advisory services are offered through Triumph Capital Management, a registered investment advisor

As a broker-dealer, SBS engages in a broad range of activities normally associated with securities brokerage firms. Pursuant to the investment advice given by Mr. Winkeller, investments in securities will be recommended for you. If SBS is selected as the broker-dealer, it will affect transactions in securities for you, a client of Triumph Capital Management and Mr. Winkeller. By serving as the broker dealer, SBS and Mr. Winkeller will receive commissions for executing securities transactions.

You are advised that if SBS is selected as the broker-dealer, the transaction charges may be higher or lower than the charges you may pay if the transactions were executed at other broker-dealers. You should note, however, that you have the right to not purchase securities through Mr. Winkeller, Triumph Capital Management or SBS.

Mr. Winkeller holds an insurance license to sell insurance and does so through his registration with Summit Brokerage Services, Inc., as well as holding appointments directly with various insurance companies. Mr. Winkeller spends less than 10% of his time providing insurance products. Commissions may be earned by Mr. Winkeller if insurance products are purchased through insurance companies. This may or may not create a conflict of interest.

Mr. Winkeller will provide advice regarding investment company securities. You should be aware that, in addition to the advisory fees paid by you, each investment company also charges its own separate investment advisory fees and other expenses (internal management fees). In addition, you should be aware that mutual funds may be purchased separately independent of the investment management services of Triumph Capital Management.

Mr. Winkeller, in his capacity as registered representatives of SBS, or agents appointed with various life, disability, or other insurance companies, receives commissions, 12(b)-1 fees, trails, or other compensation from the respective product sponsors and/or as a result of effecting securities transactions for you. However, you should note that you have the right to not purchase any investment products through Mr. Winkeller. On advisory accounts through Triumph Capital Management, Mr. Winkeller will not receive any other compensation.

Mr. Winkeller is also an IAR of Summit Financial Group, and can offer a variety of advisory programs and services through Summit Financial Group in addition to the advisory services he can offer through Triumph Capital Management. Summit Financial Group is an affiliated RIA of Summit Brokerage Services, Inc. More Information on the services available through Summit Financial Group may be found in their firm brochure, available upon request from Mr. Winkeller.

Mr. Winkeller is also an IAR of Cetera Investment Advisors, LLC, and can offer a variety of advisory programs and services through Cetera Investment Advisors, LLC in addition to the advisory services he is able to offer through Triumph Capital Management. More information on the services available through

Cetera Investment Advisors, LLC may be found in their firm brochure, available upon request from Mr. Winkeller.


Mr. Winkeller may also receive incentive-based non-cash compensation in the form of additional compensation or reimbursement arrangements which may include payments in connection with events, conferences or seminars, sales or training programs, trips (which may include travel, lodging and meals), and/or in the form of entertainment, merchandise or other benefits. While non-cash compensation programs are designed to encourage IARs and to consider and recommend certain products of investments, the conferences, seminars and training programs provided by such non-cash compensation arrangements help IARs stay current with changing products and economic issues. Such training may ultimately position IARs with resources to help serve their clients’ financial needs. Although non-cash compensation payments may create a conflict of interest, based on current fiduciary and suitability standards, Mr. Winkeller is required to make recommendations appropriate to each client’s individual needs and objectives.


Mr. Winkeller is supervised through a compliance program designed to prevent and detect violations of the federal and state securities laws. Supervision is conducted by the Chief Compliance Officer, Brandon Drespling, who is responsible for administering the policies and procedures. Mr. Drespling reviews those policies and procedures annually for their adequacy and the effectiveness of their implementation.



Timothy Waters



The Brochure Supplement provides information about Timothy Waters that supplements Triumph Capital Management’s Brochure. You should have received a copy of the Brochure. Please contact Brandon Drespling, Chief Compliance Officer, if you did not receive Triumph Capital Management’s brochure of if you have any questions about the contents of this supplement. Mr. Drespling can be reached at (720) 399-5555 or [email protected]. Additional information about Timothy Waters is available on the SEC’s website at www.adviserinfo.sec.gov. Information can be accessed by using CRD# 3083977.









TIMOTHY WATERS

• Born: 1976


• Ohio State University – Bachelor’s Degree: Personal Financial Planning – 1999

• Successfully complete the General Securities Representative (Series 7), Uniform Securities Agent

State Law Examination (Series 63), and Uniform Investment Adviser Law Examination (Series 65)











2009 – 2012 Raymond James Financial Services, Registered

Representative


Mr. Waters has no history of any legal or disciplinary events that deem to be material to a client’s consideration of Mr. Waters to act as their investment adviser representative. FINRA’s BrokerCheck may have additional information regarding the disciplinary history of Mr. Waters that is not included in this brochure supplement. (http://brokercheck.finra.org/Support/TermsAndConditions.aspx)



Mr. Waters is a registered representative of Summit Brokerage Services, Inc., a securities broker/dealer, and a member of the Financial Industry Regulatory Authority, Inc. Brokerage services through Summit Brokerage, Inc. are marketed using the name Triumph Capital, LLC. Triumph Capital, LLC is an independent firm and is not affiliated with Summit Brokerage Services, Inc. Advisory services are offered through Triumph Capital Management, a registered investment advisor.

As a broker-dealer, SBS engages in a broad range of activities normally associated with securities brokerage firms. Pursuant to the investment advice given by Mr. Waters, investments in securities will be recommended for you. If SBS is selected as the broker-dealer, it will affect transactions in securities for you, a client of Triumph Capital Management and Mr. Waters. By serving as the broker dealer, SBS and Mr. Waters will receive commissions for executing securities transactions.

You are advised that if SBS is selected as the broker-dealer, the transaction charges may be higher or lower than the charges you may pay if the transactions were executed at other broker-dealers. You should note, however, that you have the right to not purchase securities through Mr. Waters, Triumph Capital Management or SBS.

Mr. Waters holds an insurance license to sell insurance and does so through his registration with Summit Brokerage Services, Inc., as well as holding appointments directly with various insurance companies. Mr. Waters spends less than 10% of his time providing insurance products. Commissions may be earned by Mr. Waters if insurance products are purchased through insurance companies. This may or may not create a conflict of interest.

Mr. Waters will provide advice regarding investment company securities. You should be aware that, in addition to the advisory fees paid by you, each investment company also charges its own separate investment advisory fees and other expenses (internal management fees). In addition, you should be aware that mutual funds may be purchased separately independent of the investment management services of Triumph Capital Management.

Mr. Waters, in his capacity as registered representatives of SBS, or agents appointed with various life, disability, or other insurance companies, receives commissions, 12(b)-1 fees, trails, or other compensation from the respective product sponsors and/or as a result of effecting securities transactions for you. However, you should note that you have the right to not purchase any investment products through Mr. Waters. On advisory accounts through Triumph Capital Management, Mr. Waters will not receive any other compensation.

Mr. Waters is also an IAR of Summit Financial Group, and can offer a variety of advisory programs and services through Summit Financial Group in addition to the advisory services he can offer through Triumph Capital Management. Summit Financial Group is an affiliated RIA of Summit Brokerage Services, Inc. More Information on the services available through Summit Financial Group may be found in their firm brochure, available upon request from Mr. Waters.

Mr. Waters is also an IAR of Cetera Investment Advisors, LLC, and can offer a variety of advisory programs and services through Cetera Investment Advisors, LLC in addition to the advisory services he is able to offer through Triumph Capital Management. More information on the services available through Cetera Investment Advisors, LLC may be found in their firm brochure, available upon request from Mr. Waters.


Mr. Waters may also receive incentive-based non-cash compensation in the form of additional compensation or reimbursement arrangements which may include payments in connection with events, conferences or seminars, sales or training programs, trips (which may include travel, lodging and meals), and/or in the form of entertainment, merchandise or other benefits. While non-cash compensation programs are designed to encourage IARs and to consider and recommend certain products of investments, the conferences, seminars and training programs provided by such non-cash compensation arrangements help IARs stay current with changing products and economic issues. Such training may ultimately position IARs with resources to help serve their clients’ financial needs. Although non-cash compensation payments may create a conflict of interest, based on current fiduciary and suitability standards, Mr. Waters is required to make recommendations appropriate to each client’s individual needs and objectives.


Mr. Waters is supervised through a compliance program designed to prevent and detect violations of the federal and state securities laws. Supervision is conducted by the Chief Compliance Officer, Brandon Drespling, who is responsible for administering the policies and procedures. Mr. Drespling reviews those policies and procedures annually for their adequacy and the effectiveness of their implementation.



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