Allen Montgomery
Allen Montgomery is a registered investment advisor at Capstone Wealth Management CORP., based in Lakeland, FL, with 42 years of industry experience. Allen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 315 clients with $92M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 2.25% |
| $250K - $500K | 2.00% |
| $500K - $1.0M | 1.75% |
| $1.0M - $2.0M | 1.25% |
| $2M+ | 1.00% |
Fees may be negotiable. CWM may receive a quarterly advisory fee based on the performance of a client account (the “Performance Fee”). The Performance Fee is a quarterly fee equal to up to 20% of realized and unrealized gains in a client’s portfolio subject to certain restrictions and limitations.
Fee Estimator
Location
5120 S. Lakeland Drive, Suite 1, Lakeland, FL, 33813
Get directionsHistory
Regulatory History (3)
Customer Dispute
February 2011Regulatory
November 1999Customer Dispute
August 1995Other Business ActivitiesSells Insurance
Allen uses Montgomery Retirement Group LLC as a marketing and continuity DBA, offering fixed products, life insurance, and annuities. Currently, Allen spends about a quarter of his time on this, but expects to dedicate minimal time once Capstone Wealth Management becomes an RIA. He is the President and Chief Investment Strategist of Montgomery Retirement Group LLC.
Employment History
Current Registrations
Capstone Wealth Management CORP.
Previous Registrations
Cornerstone Securities LLC
Brookstone Investment Advisory Services
Brookstone Securities, INC.Broker
Financial Network Investment Corporation
Financial Network Investment CorporationBroker
Blue Vase Securities, LLC
Blue Vase Securities, LLCBroker
Securities America, INC.Broker
Integrated Resources Equity CorporationBroker
Royal Alliance Associates, INC.Broker
American Express Financial Advisors INC.Broker
Integrated Resources Equity CorporationBroker
Ids Securities CORP.Broker
Ids Marketing CorporationBroker
Ids Financial Services INC.Broker
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.