0001085146-22-000321.txt : 20220126 0001085146-22-000321.hdr.sgml : 20220126 20220125183247 ACCESSION NUMBER: 0001085146-22-000321 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220126 DATE AS OF CHANGE: 20220125 EFFECTIVENESS DATE: 20220126 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Transform Wealth, LLC CENTRAL INDEX KEY: 0001682266 IRS NUMBER: 811683097 STATE OF INCORPORATION: CO FISCAL YEAR END: 1203 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17533 FILM NUMBER: 22555129 BUSINESS ADDRESS: STREET 1: 6400 S. FIDDLERS GREEN CIRCLE STREET 2: SUITE 1600 CITY: GREENWOOD VILLAGE STATE: CO ZIP: 80111 BUSINESS PHONE: 3037412560 MAIL ADDRESS: STREET 1: 6400 S. FIDDLERS GREEN CIRCLE STREET 2: SUITE 1600 CITY: GREENWOOD VILLAGE STATE: CO ZIP: 80111 FORMER COMPANY: FORMER CONFORMED NAME: Carnick & Kubik Group, LLC DATE OF NAME CHANGE: 20160812 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001682266 XXXXXXXX 12-31-2021 12-31-2021 false Transform Wealth, LLC

6400 S. FIDDLERS GREEN CIRCLE SUITE 1600 GREENWOOD VILLAGE CO 80111

13F HOLDINGS REPORT 028-17533 N Mark J. Riley 720-509-3558 /s/ Mark J. Riley Greenwood Village CO 01-24-2022 0 218 957438 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 3M CO COM 88579Y101 274 1543 SH SOLE 0 0 1543 ABBOTT LABS COM 002824100 1485 10548 SH SOLE 0 0 10548 ABBVIE INC COM 00287Y109 17965 132680 SH SOLE 0 0 132680 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 18014 43454 SH SOLE 0 0 43454 ACTIVISION BLIZZARD INC COM 00507V109 364 5465 SH SOLE 0 0 5465 ADOBE SYSTEMS INCORPORATED COM 00724F101 13645 24063 SH SOLE 0 0 24063 ALLSTATE CORP COM 020002101 3424 29103 SH SOLE 0 0 29103 ALLY FINL INC COM 02005N100 6156 129303 SH SOLE 0 0 129303 ALPHABET INC CAP STK CL A 02079K305 16572 5720 SH SOLE 0 0 5720 ALPHABET INC CAP STK CL C 02079K107 6013 2078 SH SOLE 0 0 2078 ALTRIA GROUP INC COM 02209S103 324 6837 SH SOLE 0 0 6837 AMAZON COM INC COM 023135106 15065 4518 SH SOLE 0 0 4518 AMERICAN EXPRESS CO COM 025816109 706 4316 SH SOLE 0 0 4316 AMERICAN TOWER CORP NEW COM 03027X100 2518 8607 SH SOLE 0 0 8607 AMERIPRISE FINL INC COM 03076C106 444 1473 SH SOLE 0 0 1473 AMGEN INC COM 031162100 315 1402 SH SOLE 0 0 1402 AMPHENOL CORP NEW CL A 032095101 552 6309 SH SOLE 0 0 6309 AMPIO PHARMACEUTICALS INC COM 03209T109 59 102741 SH SOLE 0 0 102741 ANTERO MIDSTREAM CORP COM 03676B102 903 93323 SH SOLE 0 0 93323 ANTHEM INC COM 036752103 4158 8970 SH SOLE 0 0 8970 APPLE INC COM 037833100 40064 225623 SH SOLE 0 0 225623 ARCHER DANIELS MIDLAND CO COM 039483102 10726 158689 SH SOLE 0 0 158689 AT&T INC COM 00206R102 230 9359 SH SOLE 0 0 9359 BANK NEW YORK MELLON CORP COM 064058100 1839 31661 SH SOLE 0 0 31661 BARCLAYS BANK PLC IPATH SHILR CAPE 06742A669 952 41843 SH SOLE 0 0 41843 BERKLEY W R CORP COM 084423102 266 3229 SH SOLE 0 0 3229 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 3815 12760 SH SOLE 0 0 12760 BEST BUY INC COM 086516101 6371 62709 SH SOLE 0 0 62709 BLACKROCK INC COM 09247X101 9519 10397 SH SOLE 0 0 10397 BOEING CO COM 097023105 229 1136 SH SOLE 0 0 1136 BOK FINL CORP COM NEW 05561Q201 648 6142 SH SOLE 0 0 6142 BOOKING HOLDINGS 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437076102 10011 24122 SH SOLE 0 0 24122 HONEYWELL INTL INC COM 438516106 1161 5570 SH SOLE 0 0 5570 HP INC COM 40434L105 628 16670 SH SOLE 0 0 16670 IAC INTERACTIVECORP NEW COM NEW 44891N208 594 4546 SH SOLE 0 0 4546 IHS MARKIT LTD SHS G47567105 213 1605 SH SOLE 0 0 1605 INNOVATOR ETFS TR US EQTY BUF SEP 45782C664 495 14808 SH SOLE 0 0 14808 INNOVATOR ETFS TR US EQTY PWR BUF 45782C813 22304 723445 SH SOLE 0 0 723445 INNOVATOR ETFS TR US EQTY PWR BUF 45782C540 397 12486 SH SOLE 0 0 12486 INNOVATOR ETFS TR US EQTY PWR BUF 45782C656 375 12348 SH SOLE 0 0 12348 INTEL CORP COM 458140100 8679 168523 SH SOLE 0 0 168523 INTERCONTINENTAL EXCHANGE IN COM 45866F104 1024 7487 SH SOLE 0 0 7487 INTERPUBLIC GROUP COS INC COM 460690100 3470 92668 SH SOLE 0 0 92668 INTUIT COM 461202103 845 1314 SH SOLE 0 0 1314 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 758 4655 SH SOLE 0 0 4655 INVESCO QQQ TR UNIT SER 1 46090E103 377 947 SH SOLE 0 0 947 ISHARES TR 1 3 YR TREAS BD 464287457 866 10120 SH SOLE 0 0 10120 ISHARES TR 3 7 YR TREAS BD 464288661 1650 12824 SH SOLE 0 0 12824 ISHARES TR CORE MSCI EAFE 46432F842 717 9602 SH SOLE 0 0 9602 ISHARES TR CORE S&P MCP ETF 464287507 1072 3788 SH SOLE 0 0 3788 ISHARES TR CORE S&P SCP ETF 464287804 1205 10520 SH SOLE 0 0 10520 ISHARES TR CORE S&P TTL STK 464287150 1287 12033 SH SOLE 0 0 12033 ISHARES TR CORE S&P500 ETF 464287200 8963 18790 SH SOLE 0 0 18790 ISHARES TR EXPND TEC SC ETF 464287549 3612 8226 SH SOLE 0 0 8226 ISHARES TR MSCI EAFE ETF 464287465 1069 13583 SH SOLE 0 0 13583 ISHARES TR NATIONAL MUN ETF 464288414 248 2134 SH SOLE 0 0 2134 ISHARES TR RUS 1000 VAL ETF 464287598 489 2914 SH SOLE 0 0 2914 ISHARES TR RUS 2000 GRW ETF 464287648 899 3068 SH SOLE 0 0 3068 ISHARES TR RUS 2000 VAL ETF 464287630 996 5997 SH SOLE 0 0 5997 ISHARES TR RUSSELL 2000 ETF 464287655 7735 34772 SH SOLE 0 0 34772 ISHARES TR S&P 500 GRWT ETF 464287309 19818 236855 SH SOLE 0 0 236855 ISHARES TR S&P 500 VAL ETF 464287408 22155 141451 SH SOLE 0 0 141451 ISHARES TR S&P MC 400GR ETF 464287606 377 4417 SH SOLE 0 0 4417 ISHARES TR S&P MC 400VL ETF 464287705 365 3296 SH SOLE 0 0 3296 ISHARES TR SELECT DIVID ETF 464287168 1838 14994 SH SOLE 0 0 14994 ISHARES TR U.S. TECH ETF 464287721 878 7651 SH SOLE 0 0 7651 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 20591 407901 SH SOLE 0 0 407901 J P MORGAN EXCHANGE-TRADED F ULTRA SHT MUNCPL 46641Q654 19640 384654 SH SOLE 0 0 384654 JACOBS ENGR GROUP INC COM 469814107 322 2316 SH SOLE 0 0 2316 JOHNSON & JOHNSON COM 478160104 5905 34517 SH SOLE 0 0 34517 JPMORGAN CHASE & CO COM 46625H100 13014 82187 SH SOLE 0 0 82187 KKR & CO INC COM 48251W104 4948 66416 SH SOLE 0 0 66416 L3HARRIS TECHNOLOGIES INC COM 502431109 662 3107 SH SOLE 0 0 3107 LAM RESEARCH CORP COM 512807108 16517 22967 SH SOLE 0 0 22967 LIBERTY MEDIA CORP DEL COM SER C FRMLA 531229854 430 6800 SH SOLE 0 0 6800 LOCKHEED MARTIN CORP COM 539830109 487 1370 SH SOLE 0 0 1370 LOWES COS INC COM 548661107 4755 18396 SH SOLE 0 0 18396 MARATHON PETE CORP COM 56585A102 273 4264 SH SOLE 0 0 4264 MARQETA INC CLASS A COM 57142B104 1333 77629 SH SOLE 0 0 77629 MASTERCARD INCORPORATED CL A 57636Q104 2296 6389 SH SOLE 0 0 6389 MATCH GROUP INC NEW COM 57667L107 512 3872 SH SOLE 0 0 3872 MCDONALDS CORP COM 580135101 273 1020 SH SOLE 0 0 1020 MEDTRONIC PLC SHS G5960L103 413 3992 SH SOLE 0 0 3992 MERCK & CO INC COM 58933Y105 430 5611 SH SOLE 0 0 5611 META PLATFORMS INC CL A 30303M102 9842 29260 SH SOLE 0 0 29260 MICRON TECHNOLOGY INC COM 595112103 969 10402 SH SOLE 0 0 10402 MICROSOFT CORP COM 594918104 37901 112693 SH SOLE 0 0 112693 MSCI INC COM 55354G100 804 1312 SH SOLE 0 0 1312 NETFLIX INC COM 64110L106 527 874 SH SOLE 0 0 874 NEXTERA ENERGY INC COM 65339F101 732 7835 SH SOLE 0 0 7835 NIKE INC CL B 654106103 5047 30279 SH SOLE 0 0 30279 NORFOLK SOUTHN CORP COM 655844108 282 946 SH SOLE 0 0 946 NUCOR CORP COM 670346105 7485 65570 SH SOLE 0 0 65570 NUVEEN FLOATING RATE INCOME COM SHS 6706EN100 121 11919 SH SOLE 0 0 11919 NUVEEN QUALITY MUNCP INCOME COM 67066V101 187 11621 SH SOLE 0 0 11621 NVIDIA CORPORATION COM 67066G104 238 810 SH SOLE 0 0 810 NXP SEMICONDUCTORS N V COM N6596X109 6919 30377 SH SOLE 0 0 30377 OREILLY AUTOMOTIVE INC COM 67103H107 953 1349 SH SOLE 0 0 1349 OTIS WORLDWIDE CORP COM 68902V107 564 6478 SH SOLE 0 0 6478 OWL ROCK CAPITAL CORPORATION COM 69121K104 155 10954 SH SOLE 0 0 10954 PAYCHEX INC COM 704326107 786 5758 SH SOLE 0 0 5758 PEPSICO INC COM 713448108 424 2438 SH SOLE 0 0 2438 PHILIP MORRIS INTL INC COM 718172109 391 4118 SH SOLE 0 0 4118 PHILLIPS 66 COM 718546104 388 5351 SH SOLE 0 0 5351 POWELL INDS INC COM 739128106 74732 2534155 SH SOLE 0 0 2534155 PROCTER AND GAMBLE CO COM 742718109 1493 9129 SH SOLE 0 0 9129 PROLOGIS INC. COM 74340W103 1348 8008 SH SOLE 0 0 8008 PROSHARES TR SHRT 20+YR TRE 74347X849 302 18868 SH SOLE 0 0 18868 QUALCOMM INC COM 747525103 471 2573 SH SOLE 0 0 2573 RAYTHEON TECHNOLOGIES CORP COM 75513E101 743 8638 SH SOLE 0 0 8638 REALTY INCOME CORP COM 756109104 216 3015 SH SOLE 0 0 3015 REPUBLIC SVCS INC COM 760759100 267 1912 SH SOLE 0 0 1912 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 751 17297 SH SOLE 0 0 17297 RPM INTL INC COM 749685103 281 2784 SH SOLE 0 0 2784 S&P GLOBAL INC COM 78409V104 775 1642 SH SOLE 0 0 1642 SALESFORCE COM INC COM 79466L302 7226 28434 SH SOLE 0 0 28434 SCHWAB CHARLES CORP COM 808513105 8544 101594 SH SOLE 0 0 101594 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 382 3379 SH SOLE 0 0 3379 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 873 10804 SH SOLE 0 0 10804 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 749 6583 SH SOLE 0 0 6583 SCHWAB STRATEGIC TR US TIPS ETF 808524870 265 4221 SH SOLE 0 0 4221 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 547 7045 SH SOLE 0 0 7045 SELECT SECTOR SPDR TR ENERGY 81369Y506 1076 19380 SH SOLE 0 0 19380 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 2613 66906 SH SOLE 0 0 66906 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 7744 37880 SH SOLE 0 0 37880 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 274 3547 SH SOLE 0 0 3547 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 10475 74346 SH SOLE 0 0 74346 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 1193 11274 SH SOLE 0 0 11274 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 257 2841 SH SOLE 0 0 2841 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 13569 78041 SH SOLE 0 0 78041 SHOPIFY INC CL A 82509L107 240 174 SH SOLE 0 0 174 SMUCKER J M CO COM NEW 832696405 1647 12124 SH SOLE 0 0 12124 SNAP ON INC COM 833034101 382 1774 SH SOLE 0 0 1774 SONY GROUP CORPORATION SPONSORED ADR 835699307 224 1768 SH SOLE 0 0 1768 SPDR S&P 500 ETF TR TR UNIT 78462F103 8561 18025 SH SOLE 0 0 18025 SPDR SER TR BLOOMBERG SHT TE 78468R408 260 9594 SH SOLE 0 0 9594 SPDR SER TR PORTFOLIO SHORT 78464A474 257 8288 SH SOLE 0 0 8288 SPDR SER TR PRTFLO S&P500 GW 78464A409 9432 130157 SH SOLE 0 0 130157 SPDR SER TR PRTFLO S&P500 VL 78464A508 3872 92179 SH SOLE 0 0 92179 SPDR SER TR S&P DIVID ETF 78464A763 2285 17695 SH SOLE 0 0 17695 STARBUCKS CORP COM 855244109 5288 45212 SH SOLE 0 0 45212 STRYKER CORPORATION COM 863667101 657 2456 SH SOLE 0 0 2456 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 1521 12643 SH SOLE 0 0 12643 TARGET CORP COM 87612E106 15327 66226 SH SOLE 0 0 66226 TESLA INC COM 88160R101 1105 1046 SH SOLE 0 0 1046 TEXAS INSTRS INC COM 882508104 2227 11816 SH SOLE 0 0 11816 THERMO FISHER SCIENTIFIC INC COM 883556102 12038 18041 SH SOLE 0 0 18041 TRUIST FINL CORP COM 89832Q109 1959 33462 SH SOLE 0 0 33462 UNION PAC CORP COM 907818108 1155 4584 SH SOLE 0 0 4584 UNITED RENTALS INC COM 911363109 6264 18850 SH SOLE 0 0 18850 UNITEDHEALTH GROUP INC COM 91324P102 15741 31347 SH SOLE 0 0 31347 US BANCORP DEL COM NEW 902973304 1380 24576 SH SOLE 0 0 24576 VANECK ETF TRUST SEMICONDUCTR ETF 92189F676 1497 4847 SH SOLE 0 0 4847 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 13585 31119 SH SOLE 0 0 31119 VANGUARD INDEX FDS TOTAL STK MKT 922908769 922 3817 SH SOLE 0 0 3817 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 236 2901 SH SOLE 0 0 2901 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 709 4128 SH SOLE 0 0 4128 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 891 7950 SH SOLE 0 0 7950 VANGUARD WORLD FDS COMM SRVC ETF 92204A884 2352 17348 SH SOLE 0 0 17348 VERISIGN INC COM 92343E102 673 2650 SH SOLE 0 0 2650 VERISK ANALYTICS INC COM 92345Y106 827 3616 SH SOLE 0 0 3616 VERIZON COMMUNICATIONS INC COM 92343V104 544 10467 SH SOLE 0 0 10467 WALMART INC COM 931142103 7355 50830 SH SOLE 0 0 50830 WAYFAIR INC CL A 94419L101 590 3105 SH SOLE 0 0 3105 WESTROCK CO COM 96145D105 1863 41989 SH SOLE 0 0 41989 WHIRLPOOL CORP COM 963320106 2334 9948 SH SOLE 0 0 9948 WILLIAMS COS INC COM 969457100 1656 63602 SH SOLE 0 0 63602 WISDOMTREE TR US HIGH DIVIDEND 97717W208 334 4048 SH SOLE 0 0 4048 WOODWARD INC COM 980745103 297 2710 SH SOLE 0 0 2710 XCEL ENERGY INC COM 98389B100 240 3547 SH SOLE 0 0 3547 ZOETIS INC CL A 98978V103 737 3022 SH SOLE 0 0 3022