Newport Beach, CA Office

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.