Wealth Strategies Group
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$99,536,502
Clients
107
Advisors
2
across 2 offices
About
Wealth Strategies Group provides discretionary portfolio management, investment consultation, and incidental financial planning to individuals, high-net-worth clients, families, trusts, estates, small businesses and retirement plans. Like many firms in this category, it focuses on individual and HNW clients and generally charges asset-based advisory fees while offering ongoing portfolio oversight.
The firm constructs portfolios using equities, fixed income, mutual funds, ETFs and may employ options and other derivatives as part of its strategies, relying on fundamental, technical and cyclical analysis and regular rebalancing. Advisors may use borrowing (margin) in client accounts when appropriate and manage accounts on a discretionary basis to implement the investment plan.
Distinctive features include the firm’s use of performance-based fee arrangements for qualified clients and its role as a sponsor of wrap-fee programs, practices that are less common among peers and which the firm discloses and addresses through specific policies. Several supervised persons are licensed insurance agents and the firm has affiliated consulting and insurance activities; insurance commissions and other non-advisory compensation are disclosed as separate from advisory fees.
Client services
Expertise
Occupation focus
Fee options
up to 1.5% annually
Insurance product commissions separate from advisory fees, earned by licensed insurance agents on the team.
20% of net gains over benchmark charged quarterly to qualified clients with minimum $1,100,000 assets or $2,200,000 net worth.
Main office
See office2901 W. Coast Highway, Suite 200
Newport Beach CA 92663
Advisors at this office
1
Offices (2)
Most active in
California · Texas
Also doing business as
Travis Allen Inc. · Travis Allen Inc. Dba Wealth Strategies Group · Wealth Strategies Group
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Quick links
Advisors at this firm
Travis A
CFP®, Series 63, Series 66
Sacramento, CA
Wealth Strategies Group
Travis Allen is a CFP®-certified financial advisor with 29 years of industry experience. He is a principal at Wealth Strategies Group, where he has worked since 2001, and previously spent 16 years with Securities America Advisors, Inc. He also holds an insurance license and works as a fixed insurance agent. Wealth Strategies Group provides discretionary portfolio management, investment consultation, and financial planning services to individuals, high-net-worth clients, families, trusts, estates, small businesses, and retirement plans. The firm employs a range of investment strategies including equities, fixed income, mutual funds, ETFs, and derivatives, and offers portfolio management on a discretionary basis.
Mark Y
CFP®, Series 63, Series 66
Newport Beach, CA
Wealth Strategies Group
Mark Yates is a CFP® professional with 22 years of industry experience, currently serving at Wealth Strategies Group. His background includes 16 years with Securities America Advisors, Inc. and running a sole proprietorship focused on health, life, and fixed annuity insurance sales. He is based in Newport Beach, CA. Wealth Strategies Group provides discretionary portfolio management and financial planning to individuals, high-net-worth clients, families, trusts, estates, small businesses, and retirement plans. The firm uses a range of investment vehicles and analytical approaches, managing accounts on a discretionary basis and offering performance-based fee arrangements for qualified clients.
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