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Robert Wong

Capital Wealth Alliance, LLC
32 Years of Experience
Scottsdale, AZ
3 DisclosuresBrokerSells Insurance
View SEC Summary
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Robert Wong is a registered investment advisor at Capital Wealth Alliance, LLC, based in Scottsdale, AZ, with 32 years of industry experience. Robert is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 348 clients with $300M in assets under management.

Capital Wealth Alliance, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3 advisors
Number of Clients
348 clients
Average Client Portfolio
$863K average
Assets Under Management
$300.3M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Annual portfolio management fee ranges up to 2.25% depending on asset value, complexity, and administration level. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

17015 North Scottsdale Road, Suite 250, Scottsdale, AZ, 85255

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 1998
Denied
Customer Dispute
July 1996
Settled
Customer Dispute
June 1996
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Robert owns RDW & Associates, Inc., an S Corp for business and bill payments, dedicating minimal time. He is also a partner in Capital Wealth Holdings LLC and Capital Wealth Alliance, LLC, spending nearly full-time as CCO and IAR for the latter. Robert is also a partner and agent at Capital Wealth Insurance LLC, dedicating a few hours per week.

Employment History
Current Registrations
Capital Wealth Alliance, LLC
October 2018 - Present · 8 yrs
Kingswood Capital Partners, LLCBroker
October 2018 - Present · 8 yrs
Previous Registrations
Raymond James Financial Services Advisors, INC
October 2012 - October 2018 · 6 yrs
Raymond James Financial Services, INC.Broker
March 2002 - October 2018 · 16 yrs 7 mos
First Union Securities, INC.Broker
May 1998 - March 2002 · 3 yrs 10 mos
Principal Financial Securities,inc.Broker
June 1997 - May 1998 · 11 mos
Olde Discount CorporationBroker
September 1994 - June 1997 · 2 yrs 9 mos
State Registrations8 states
AZCANJNYPASDTXWI
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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