TCM is a regional growth capitalist. We are an intermediary - a specialist in executing non-traditional private capital raising, venture/private equity investing, and strategic partnering assignments. As such, we generally operate in the securities industry and much of our business activity is regulated accordingly. In its capacity as a securities advisor, Transition Capital Management, LLC is a Registered Investment Advisor with the State of Iowa. Thomas L. Steen is an Investment Advisor Representative with Transition Capital Management. Web-based information should not be construed as an offer to provide investment advisory services.

As a securities distributor, Thomas L. Steen is a Registered Representative of Robert B. Ausdal & Co, an NASD-Registered Broker/Dealer. Web-based information should not be construed as an offer to sell securities. Robert B. Ausdal & Co., Inc. does not accept buy, sell or cancel orders by e-mail, or any instructions by e-mail that would require your signature. Information contained in this form of communication is not considered an official record of your account and does not supersede normal trade confirmations or statements. Any information provided has been prepared from sources believed to be reliable but is not guaranteed, does not represent all available data necessary for making investment decisions and is for informational purposes only. Securities offered through Robert B. Ausdal & Co., Inc. Member NASD, SIPC, MSB, 220 N. Main St., Suite 400, Davenport, IA 52801. 563-326-2064.

Investment Advisors, Broker-Dealers, BD Agents or Iowa Agents, may only transact business in a state if first registered in a state; or if such person is excluded or exempted from registration; no follow-up can be made to inquiries generated by this website by such person unless the person has complied with the state’s registration requirements (or is exempted or excluded.)