CWP PRIVATE WEALTH MANAGEMENT
RIA SERVICES, LLC Legal Name
Adviser information for CWP PRIVATE WEALTH MANAGEMENT last updated from Form ADV on February 16th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Wisconsin, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 10 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,006 | $206.5M |
| Non-Discretionary | 0 | $0 |
| Total | 1,006 | $206.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 407 | $143.0M |
| HNW Individuals | 45 | $63.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly charges |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Identifiers
| SEC RIA File Number | 801-120760 |
|---|---|
| SEC ERA File Number | 801-120760 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 281520 |
| Legal Entity Identifier | None |
Principal Office
1755 W. PARADISE DR.WEST BEND
WI
United States
Monday - Friday, MON - THURS: 8AM-4:00PM, FRI: 8AM-3PM
Tel: 262-226-2729, Fax: None
Websites
Chief Compliance Officer
DAVID ROSENOW
1755 W. PARADISE DR.
WEST BEND
WI
United States
Tel:
262-226-2729
S******@************M
(Full email address available in API data)
Regulatory Contact
DAVID LAKE
MEMBER
1755 W. PARADISE DRIVE
WEST BEND
WI
United States
Tel:
262-226-2729
D****@************M
(Full email address available in API data)
Industry Affiliates
| CAPITAL WEALTH ADVISORS, LTD. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LAKE, DAVID, SCOTT | Individual | – | MEMBER | 09/2015 | > 75% |
| ROSENOW, DAVID, LEO | Individual | – | MEMBER, CHIEF COMPLIANCE OFFICER | 01/2021 | 10-25% |