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Michael Romero

Wealth Management Advisors RIA, INC.
23 Years of Experience
Windsor, CO
6 DisclosuresSells Insurance
View SEC Summary
View SEC Summary

Michael Romero is a registered investment advisor at Wealth Management Advisors RIA, INC., based in Windsor, CO, with 23 years of industry experience. Michael operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Annuities, Business Owners, Estate Planning, High Net Worth, and 3 more. Their firm serves 151 clients with $120M in assets under management.

Wealth Management Advisors RIA, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2 advisors
Number of Clients
151 clients
Average Client Portfolio
$763K average
Assets Under Management
$115.2M

Fee Structure

Minimum Investment:None
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $100K2.00%
$100K - $5.0M1.50%
$5M+1.50%

Fees for accounts over $5,000,000 are negotiable. The entire portfolio is charged the same rate based on total assets under management.

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

Location

617 Main St., Windsor, CO, 80550

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History

Regulatory History (6)
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.
Regulatory
December 2012
Final
Customer Dispute
June 2010
Denied
Customer Dispute
June 2010
Denied
Customer Dispute
March 2010
Denied
Customer Dispute
March 2010
Settled
Customer Dispute
October 2009
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Michael is a landlord managing property, dedicating minimal time to it since 1995. He is also the President and an insurance agent at Wealth Management Advisors, Inc., dedicating about 10-20% of his time since 2001.

Employment History
Current Registrations
Wealth Management Advisors RIA, INC.
July 2020 - Present · 6 yrs 3 mos
Previous Registrations
Dmk Advisor Group, INC.Broker
May 2011 - September 2021 · 10 yrs 4 mos
Dmk Advisor Group, INC.
May 2011 - September 2021 · 10 yrs 4 mos
Harrison Douglas, INC.Broker
March 2011 - May 2011 · 2 mos
Workman Securities Corporation
May 2009 - March 2011 · 1 yr 10 mos
Workman Securities CorporationBroker
June 2008 - March 2011 · 2 yrs 9 mos
Capwest Securities, INC.Broker
September 2005 - June 2008 · 2 yrs 9 mos
United Securities Alliance, INC.Broker
March 2003 - October 2005 · 2 yrs 7 mos
PFS Investments INC.Broker
April 2002 - February 2003 · 10 mos
State Registrations4 states
CACOLATX
Advisor

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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