Ulta Wealth Management, LLC

Ulta Wealth Management is an independent advisory firm that provides discretionary asset management and standalone financial planning and consulting primarily for individual and high net worth clients. Services described in the brochure include portfolio management across stocks, bonds, ETFs, mutual funds, options and alternative investments, as well as written financial plans covering retirement, estate, tax, corporate structure, real estate analysis and other planning topics.

The firm describes an investment process that uses fundamental and technical analysis, sector analysis and various asset-allocation approaches (strategic, dynamic, tactical and core-satellite) and monitors and rebalances portfolios on an ongoing basis. It discloses the use of margin/borrowing and options/derivatives in managed accounts and maintains client cash in money-market instruments, CDs and similar low‑risk vehicles as part of cash management and fee collection.

Noteworthy details in the brochure include the firm’s mix of alternative investments (private equity, REITs, BDCs) and corporate-level planning services such as cost segregation studies and corporate structure work, which extend beyond typical retail financial planning. The firm operates as a solo adviser while reporting a substantial level of assets under management across discretionary and non‑discretionary accounts, and it uses an institutional custody platform through Fidelity plus a third‑party back‑office service provider for administrative support.