Data / Investment advisers / California / Wealth Strategies Group
Wealth Strategies Group, Newport Beach, CA: $103 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Wealth Strategies Group is an SEC registered investment adviser with its main office in Newport Beach, California and reports $103 million in regulatory assets under management in its Form ADV filed September 9, 2026. Its clients include high net worth individuals, individuals and corporations and other businesses. It is paid through a percentage of assets under management, fixed fees and performance based fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 326407
- SEC file number
- 801-137269
- SEC status
- Approved, effective September 15, 2026
- Main office
- 2901 W. Coast Hwy, Ste 200, Newport Beach, CA 92663
- Phone
- (888) 848-4144
- Regulatory AUM
- $102,928,253 in the Form ADV filed September 9, 2026
- Discretionary AUM
- $102,928,253
- Accounts
- 308
- Employees
- 6, of which 2 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, fixed fees, performance based fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- September 9, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 18 | $83.4 million |
| Individuals (other than high net worth individuals) | 89 | $16.1 million |
| Corporations or other businesses | 13 | $3.4 million |
Other advisers in Newport Beach
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Pacific Specialty Investment Group, LLC | Newport Beach | $123.2 million | Not listed | adviserinfo.sec.gov |
| Triad Investment Management, LLC | Newport Beach | $119.5 million | Not listed | adviserinfo.sec.gov |
| Pariax Private Wealth Management | Newport Beach | $115.4 million | Not listed | adviserinfo.sec.gov |
| Lockerman Financial Group, Inc | Newport Beach | $110.1 million | Not listed | adviserinfo.sec.gov |
| Werlemann Wealth Management | Newport Beach | $110 million | Not listed | adviserinfo.sec.gov |
| Sway Ventures Management LLC | Newport Beach | Not listed | 24 | adviserinfo.sec.gov |
| Ankona Management, LLC | Newport Beach | Not listed | 5 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Newport Beach, CA
- Investment advisers in California
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Wealth Strategies Group on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.