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CFP

Barry Wong

Diversify Advisory Services, LLC
29 Years of Experience
Santa Rosa, CA
2 DisclosuresBrokerSells Insurance
View SEC Summary
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Barry Wong is a CFP-designated registered investment advisor at Diversify Advisory Services, LLC, based in Santa Rosa, CA, with 29 years of industry experience. Barry is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 11 more. Their firm serves 5,322 clients with $4.6B in assets under management.

Diversify Advisory Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
115 advisors
Number of Clients
5,322 clients
Average Client Portfolio
$874K average
Assets Under Management
$4.6B

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K1.00%
$500K - $1.0M1.00%
$1.0M - $2.0M0.85%
$2.0M - $3.0M0.85%
$3.0M - $4.0M0.70%
$4.0M - $5.0M0.70%
$5M+0.50%

Advisory fees are negotiable and maximum annual rates are capped at 2.00% across most platforms. Certain platforms include additional strategy fees ranging from 0.15% to 0.75%.

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

Location

3550 Round Barn Blvd, Suite 208, Santa Rosa, CA, 95403

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History

Regulatory History (2)
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
November 2014
Denied
Customer Dispute
October 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Barry sells fixed insurance contracts as an agent since 2021. He dedicates minimal time to this activity during business hours.

Employment History
Current Registrations
Diversify Advisory Services, LLC
October 2023 - Present · 3 yrs
Dfpg Investments, LLCBroker
September 2022 - Present · 4 yrs 1 mo
Previous Registrations
Dfpg Investments, LLC
September 2022 - December 2023 · 1 yr 3 mos
U.S. Bancorp Investments, INC.
January 2006 - September 2022 · 16 yrs 8 mos
U.S. Bancorp Investments, INC.Broker
October 2002 - September 2022 · 19 yrs 11 mos
Fiserv Investor Services, INC.Broker
January 2001 - February 2003 · 2 yrs 1 mo
CUNA Brokerage Services, INC.Broker
June 1999 - January 2001 · 1 yr 7 mos
Ba Investment Services, INC.Broker
July 1997 - July 1999 · 2 yrs
Wells Fargo Securities INC.Broker
October 1996 - July 1997 · 9 mos
State Registrations6 states
AZCAFLIDNVOR
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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