WEALTH STRATEGIES GROUP
Adviser information for WEALTH STRATEGIES GROUP last updated from Form ADV on March 31st, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 102 | $16.3M |
| Non-Discretionary | 0 | $0 |
| Total | 102 | $16.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 43 | $4.6M |
| HNW Individuals | 13 | $11.7M |
| 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 | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
| Other Business Activities | Insurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| FUNDCHOICE | ORION PORTFOLIO SOLUTIONS, LLC |
Identifiers
| SEC RIA File Number | 801-128247 |
|---|---|
| SEC ERA File Number | 801-128247 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 326407 |
| Legal Entity Identifier | None |
Principal Office
2901 W. COAST HIGHWAY, SUITE 200NEWPORT BEACH
CA
United States
Monday - Friday, 9AM TO 5PM
Tel: 888-848-4144, Fax: None
Chief Compliance Officer
TRAVIS ALLEN
CEO
2901 W. COAST HIGHWAY, SUITE 200
NEWPORT BEACH
CA
United States
Tel:
888-848-4144
C*********@************************M
(Full email address available in API data)
Regulatory Contact
JEFF RUMFIELD
2901 W. COAST HIGHWAY, SUITE 200
NEWPORT BEACH
CA
United States
Tel:
949-990-3418
J***@************************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ALLEN, TRAVIS | Individual | – | CEO/PRESIDENT/CCO | 04/2023 | > 75% |