Spartan Capital Private Wealth Management LLC

Spartan Capital Private Wealth Management provides personalized investment advisory services to individuals, corporations and other business entities, offering portfolio management, selection and oversight of third‑party money managers, and ongoing investment consultation. As of March 31, 2021 the firm reported roughly $6.74 million in assets under management across about 20 client accounts.

The firm tailors guidance to clients’ stated objectives, risk tolerance and liquidity needs and offers both discretionary and non‑discretionary arrangements, with the reported assets managed on a non‑discretionary basis. SCPWM frequently relies on third‑party managers and model portfolios rather than conducting independent quantitative or qualitative analysis of individual securities, and it conducts periodic reviews while custodian statements are provided directly to clients.

What is distinctive about SCPWM is its integration with a broker‑dealer and insurance activities: the firm is under common ownership with Spartan Capital Securities, many investment adviser representatives are also registered representatives who may receive commission‑based and 12b‑1 compensation, and those representatives are licensed insurance agents who may earn insurance commissions. The brochure discloses these potential conflicts of interest, notes a custodial transition to Axos Clearing, and directs clients to SEC and FINRA resources for regulatory history, reflecting operational features more commonly seen in broker‑dealer‑affiliated practices than in purely independent RIAs.