TrueAdvisor
TrueAdvisor
RR
RR

Roberto Roman

Mgo Private Wealth, LLC
20 Years of Experience
1 Disclosure
View SEC Summary
View SEC Summary
Areas of Practice
Retirement PlanningEducation PlanningEstate PlanningTax PlanningInsurance PlanningInvestment Management
Mgo Private Wealth, LLC
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
2 advisors
Number of Clients
71 clients
Average Client Portfolio
$2.9M average
Assets Under Management
$206.2M

Fee Structure

Minimum Investment:None
Financial Planning:Included in AUM fee

Location

111 Pacifica, Suite 300, Irvine, CA, 92618

Get directions

History

Regulatory History (1)
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
February 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Roberto invests in pre-IPO and late-stage companies through Hartbeat Ventures since 2019. His role involves identifying and recommending opportunities in tech, consumer, and sports industries, co-investing with venture capital funds.

Employment History
Current Registrations
Mgo Private Wealth, LLC
July 2016 - Present · 9 yrs 7 mos
Previous Registrations
Legacy Private Client Group, INC.
November 2011 - December 2016 · 5 yrs 1 mo
Morgan Stanley Smith Barney LLC
September 2009 - November 2011 · 2 yrs 2 mos
UBS Financial Services INC.
September 2007 - September 2009 · 2 yrs
Wachovia Securities Financial Network, LLC
February 2007 - August 2007 · 6 mos
UBS Financial Services INC.
November 2005 - February 2007 · 1 yr 3 mos
State Registrations2 states
CATX
Advisor
Exams
No exam information available for this advisor.