U.S. Capital Wealth Advisors, LLC logo

U.S. Capital Wealth Advisors, LLC

Updated today

Client assets under management

$8,212,445,924

Clients

4,395

43% high-net worth

Advisors

91

of 141 employees

Firm type

Multi Team

Clients per advisor

48

Low

Average account size

$1,868,588

About

U.S. Capital Wealth Advisors serves individuals (including high‑net‑worth clients), family offices, institutions, businesses and retirement plans, offering discretionary and non‑discretionary portfolio management, fee‑based financial planning, and supervision of External Managers. The firm manages roughly $8.76 billion with a team of approximately 91 advisors and provides both on‑platform and “held‑away” account management using custodial relationships and third‑party platforms.

The firm’s advisers use a mix of fundamental, technical and quantitative analysis and routinely employ third‑party platforms and External Managers (including Envestnet, Piton and 55ip) as part of tailored asset‑allocation and rebalancing programs; it also advises on alternative investments, structured notes, interval funds, cryptocurrency exposure and 1031 exchanges when appropriate. USCWA combines proprietary and third‑party research (including access to Fiducient Advisors and affiliate Arax Investment Partners), and uses custodians such as NFS and Schwab and connectivity tools like Pontera for held‑away accounts.

What distinguishes USCWA from many peers is its broader holding‑company structure and affiliated capabilities: it is part of U.S. Capital Wealth, LLC (majority‑owned by Arax), and has related entities including USCA Securities, USCA Insurance Agency, USCA Asset Management/feeder funds, Robin Glen/Arax Insurance Solutions and USCA Municipal Advisors (a registered municipal advisor). Those affiliations enable integrated product and municipal advisory offerings but also create conflicts of interest (for example, affiliated private placements, insurance referrals and the NFS bank‑deposit sweep program), which the firm discloses and manages in its client agreements.

Client services

Financial planning Portfolio management Pension consulting Selection of other advisers Educational seminars or workshops

Expertise

Passive / index investing Options & derivatives strategies Private / alternative investments

Occupation focus

Founder/Business Owner Executive

Demographic focus

Retired HENRY (High Earners, Not Rich Yet)

Fee options

Fixed

Financial planning services generally charged as fixed fees.

Percentage

$0 - : not explicitly stated, but fees range from 0.75% to 2.0% and are negotiable: 0.75% to 2.0%, negotiable; maximum allowed is 3% Not specified - Not specified: Tiered fee schedules may apply as outlined in client agreements, but full tier breakdowns are not provided in the brochure.

Other

Account minimum: $50,000 Minimum fee: Financial planning fees are generally charged as an annual fixed fee, typically paid at the beginning of the relationship and annually thereafter, with options to pay monthly or quarterly. Fee-only: Fee-based financial planning services offered for an annual fixed fee separate from asset-based fees.

Main office location

U.S. Capital Wealth Advisors, LLC

4444 Westheimer Rd., Suite G500

Houston TX 77027, United States

Number of offices

8

Most active in

Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

Advisors at this firm

user avatar

William H

Series 63, Series 65

Austin, TX

U.S. Capital Wealth Advisors, LLC

William Hurt is a financial advisor at U.S. Capital Wealth Advisors, LLC with 25 years of industry experience. He holds Series 63 and Series 65 licenses and has been with U.S. Capital Wealth Advisors since 2021. Prior to that, he was associated with USCA Securities LLC and USCA RIA LLC. U.S. Capital Wealth Advisors, LLC provides wealth management and financial planning to individual investors, family offices, institutions, charitable organizations, and businesses. The firm manages approximately $7.28 billion in assets and employs a combination of fundamental, technical, and quantitative analysis, utilizing external managers and various investment vehicles to serve a diverse client base.

Passive / index investing Options & derivatives strategies Private / alternative investments Founder/Business Owner Executive Retired HENRY (High Earners, Not Rich Yet)
user avatar

Gil B

Series 66

Austin, TX

U.S. Capital Wealth Advisors, LLC

Gil Beer is a financial advisor at U.S. Capital Wealth Advisors, LLC with 20 years of industry experience. He holds the Series 66 designation and has been with U.S. Capital Wealth Advisors since 2021. Prior to this, he worked with USCA Securities LLC and Usca Ria LLC. He also serves as a trustee for a family trust. U.S. Capital Wealth Advisors provides wealth management and financial planning services to individual investors, family offices, institutions, charitable organizations, and businesses. The firm employs a combination of fundamental, technical, and quantitative analysis and utilizes a range of investment vehicles and external managers to support approximately $7.28 billion in assets under management.

Passive / index investing Options & derivatives strategies Private / alternative investments Founder/Business Owner Executive Retired HENRY (High Earners, Not Rich Yet)
user avatar

Julieta S

Series 66

Austin, TX

U.S. Capital Wealth Advisors, LLC

Julieta Sandoval is a financial advisor at U.S. Capital Wealth Advisors, LLC with 25 years of industry experience. She holds the Series 66 designation and has worked at several affiliated firms since 2010. Her roles include managing operations as chief administrative officer and managing director. U.S. Capital Wealth Advisors provides wealth management and financial planning services to individuals, family offices, institutions, charitable organizations, and businesses. The firm manages approximately $7.28 billion in assets and employs a multi-disciplinary investment approach that incorporates fundamental, technical, and quantitative analysis alongside a variety of external managers and investment products.

Passive / index investing Options & derivatives strategies Private / alternative investments Founder/Business Owner Executive Retired HENRY (High Earners, Not Rich Yet)
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Hugh M

Series 63, Series 65

Andover, MA

U.S. Capital Wealth Advisors, LLC

Hugh Maginnis Jr. is a financial advisor at U.S. Capital Wealth Advisors, LLC with 28 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at several firms including Triad Advisors, Pinnacle Private Wealth, and Risk Paradigm Group Holdings. In addition to his advisory role, he is a registered insurance agent selling and servicing fixed insurance and annuity contracts. U.S. Capital Wealth Advisors provides wealth management and financial planning to individual investors, family offices, institutions, charitable organizations, and businesses. The firm manages approximately $7.28 billion in assets and employs a multi-faceted investment approach that includes fundamental, technical, and quantitative analysis, using both internal and external management strategies.

Passive / index investing Options & derivatives strategies Private / alternative investments Founder/Business Owner Executive Retired HENRY (High Earners, Not Rich Yet)
user avatar

James M

Series 66

Houston, TX

U.S. Capital Wealth Advisors, LLC

James Mc Daniel is a financial advisor at U.S. Capital Wealth Advisors, LLC with 10 years of industry experience. He holds a Series 66 designation and previously worked at Commonwealth Financial Network and Austin Financial Partners. In addition to his advisory role, he is involved in selling fixed insurance products. U.S. Capital Wealth Advisors provides wealth management and financial planning services to individuals, family offices, institutions, charitable organizations, and businesses. The firm employs a multi-strategy investment approach utilizing fundamental, technical, and quantitative analysis, alongside external managers and diverse investment vehicles.

Passive / index investing Options & derivatives strategies Private / alternative investments Founder/Business Owner Executive Retired HENRY (High Earners, Not Rich Yet)
user avatar

Bradley S

CFP®, Series 66

Austin, TX

U.S. Capital Wealth Advisors, LLC

Bradley Shields is a CFP® professional with 12 years of experience in the financial services industry. He is currently with U.S. Capital Wealth Advisors, LLC, where he has worked since 2021. His prior experience includes roles at Wells Fargo Advisors and Wells Fargo Clearing. U.S. Capital Wealth Advisors, LLC provides wealth management and financial planning services to individual investors, family offices, institutions, charitable organizations, and businesses. The firm manages approximately $7.28 billion in assets, utilizing a combination of fundamental, technical, and quantitative analysis alongside external managers and model programs.

Passive / index investing Options & derivatives strategies Private / alternative investments Founder/Business Owner Executive Retired HENRY (High Earners, Not Rich Yet)
user avatar

Ryan R

Series 66

Austin, TX

U.S. Capital Wealth Advisors, LLC

Ryan Ringuet is a financial advisor at U.S. Capital Wealth Advisors, LLC with 21 years of industry experience. He holds a Series 66 designation and has been with U.S. Capital Wealth Advisors since 2021. Prior to that, he was affiliated with USCA Securities LLC and Usca Ria LLC. U.S. Capital Wealth Advisors, LLC provides wealth management and financial planning services to individual investors, family offices, institutions, charitable organizations, and businesses. The firm combines fundamental, technical, and quantitative analysis in its investment approach and manages approximately $7.28 billion in assets across 68 advisors serving over 4,200 clients.

Passive / index investing Options & derivatives strategies Private / alternative investments Founder/Business Owner Executive Retired HENRY (High Earners, Not Rich Yet)
user avatar

John H

Series 63, Series 66

Austin, TX

U.S. Capital Wealth Advisors, LLC

John Howle is a financial advisor at U.S. Capital Wealth Advisors, LLC with 41 years of industry experience. He holds Series 63 and Series 66 licenses and has been with U.S. Capital Wealth Advisors since 2021. Prior to that, he was associated with USCA Securities LLC and Usca Ria LLC. U.S. Capital Wealth Advisors provides wealth management and financial planning services to individual investors, family offices, institutions, charitable organizations, and businesses. The firm employs a multi-faceted investment approach combining fundamental, technical, and quantitative analysis, and utilizes a range of external managers and model programs alongside mutual funds, ETFs, and alternative investment vehicles.

Passive / index investing Options & derivatives strategies Private / alternative investments Founder/Business Owner Executive Retired HENRY (High Earners, Not Rich Yet)
user avatar

Nicholas E

CFP®, Series 66

Austin, TX

U.S. Capital Wealth Advisors, LLC

Nicholas Erwin is a CFP® professional with 21 years of experience in the financial industry. He is currently with U.S. Capital Wealth Advisors, LLC, where he has worked since 2021, and has prior experience with USCA Securities LLC and Usca Ria LLC. U.S. Capital Wealth Advisors, LLC provides wealth management and financial planning services to individual investors, family offices, institutions, charitable organizations, and businesses. The firm manages approximately $7.28 billion in assets and employs a multifaceted investment approach that includes fundamental, technical, and quantitative analysis, utilizing external managers, model programs, and a variety of investment vehicles.

Passive / index investing Options & derivatives strategies Private / alternative investments Founder/Business Owner Executive Retired HENRY (High Earners, Not Rich Yet)
user avatar

Davis R

Series 66

Austin, TX

U.S. Capital Wealth Advisors, LLC

Davis Rushing is a financial advisor and managing director at U.S. Capital Wealth Advisors, LLC with 19 years of industry experience. He holds the Series 66 designation and has been with U.S. Capital Wealth Advisors since 2021, following prior roles with affiliated firms including USCA Securities LLC and USCA RIA LLC. Outside of his advisory work, he serves on the board of directors for Generation Park Management District and is involved in acting and production through Rushing Productions. U.S. Capital Wealth Advisors, LLC provides wealth management and financial planning services to individual investors, family offices, institutions, charitable organizations, and businesses. The firm employs a diversified investment approach combining fundamental, technical, and quantitative analysis, and utilizes both internal and external managers across a range of investment vehicles.

Passive / index investing Options & derivatives strategies Private / alternative investments Founder/Business Owner Executive Retired HENRY (High Earners, Not Rich Yet)
user avatar

Edward R

Series 63, Series 65, Series 66

Austin, TX

U.S. Capital Wealth Advisors, LLC

Edward Randall IV is a financial advisor with U.S. Capital Wealth Advisors, LLC, holding Series 63, 65, and 66 licenses and bringing 26 years of industry experience. He has been with U.S. Capital Wealth Advisors since 2021 and has longstanding roles at affiliated entities including USCA Securities LLC and U.S. Capital Advisors LLC since 2010. Outside of his advisory work, Randall serves on the board of directors for Dynamic Health Strategies, LLC. U.S. Capital Wealth Advisors, LLC provides wealth management and financial planning services to individual investors, family offices, institutions, charitable organizations, and businesses. The firm employs a comprehensive investment approach combining fundamental, technical, and quantitative analysis, utilizing both internal and external managers to serve its client base.

Passive / index investing Options & derivatives strategies Private / alternative investments Founder/Business Owner Executive Retired HENRY (High Earners, Not Rich Yet)
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Kenneth M

Series 63, Series 65

New York, NY

U.S. Capital Wealth Advisors, LLC

Kenneth Mathieson is a financial advisor at U.S. Capital Wealth Advisors, LLC with 38 years of industry experience. He holds Series 63 and Series 65 licenses and has worked previously at Laidlaw Wealth Management, Steward Partners, and Raymond James Financial Services. U.S. Capital Wealth Advisors, LLC provides wealth management and financial planning services to individual investors, family offices, institutions, charitable organizations, and businesses. The firm employs a diverse investment approach that includes fundamental, technical, and quantitative analysis, utilizing external managers and various model programs to serve its client base.

Passive / index investing Options & derivatives strategies Private / alternative investments Founder/Business Owner Executive Retired HENRY (High Earners, Not Rich Yet)
user avatar

Lavada W

Series 66

Houston, TX

U.S. Capital Wealth Advisors, LLC

Lavada Waters is a financial advisor at U.S. Capital Wealth Advisors, LLC with 23 years of industry experience. She holds a Series 66 designation and has worked previously at Purshe Kaplan Sterling Investments and Merrill. U.S. Capital Wealth Advisors provides wealth management and financial planning services to individual investors, family offices, institutions, charitable organizations, and businesses. The firm combines fundamental, technical, and quantitative analysis, employing a range of investment vehicles and external managers to serve its clients.

Passive / index investing Options & derivatives strategies Private / alternative investments Founder/Business Owner Executive Retired HENRY (High Earners, Not Rich Yet)
user avatar

Barry G

Series 63, Series 66

Austin, TX

U.S. Capital Wealth Advisors, LLC

Barry Guinn is a financial advisor at U.S. Capital Wealth Advisors, LLC with 25 years of industry experience. He holds Series 63 and Series 66 designations and has worked at U.S. Capital Wealth Advisors since 2021. Outside of finance, he is the sole owner and managing partner of 1-800-STRIPER, LLC, a pavement and parking lot striping business. U.S. Capital Wealth Advisors, LLC provides wealth management and financial planning services to individual investors, family offices, institutions, charitable organizations, and businesses. The firm manages approximately $7.28 billion in assets and employs a multi-faceted investment approach that includes fundamental, technical, and quantitative analysis, as well as the use of external managers and various investment vehicles.

Passive / index investing Options & derivatives strategies Private / alternative investments Founder/Business Owner Executive Retired HENRY (High Earners, Not Rich Yet)
user avatar

Kim Ha N

CFP®, Series 63, Series 65

Austin, TX

U.S. Capital Wealth Advisors, LLC

Kim Ha Nguyen is a CFP® professional with 26 years of industry experience, currently serving as a financial advisor at U.S. Capital Wealth Advisors, LLC since 2021. Prior to this, Nguyen was associated with USCA Securities LLC and Usca Ria LLC. Nguyen is also a co-trustee of a family trust created for estate planning purposes. U.S. Capital Wealth Advisors, LLC provides wealth management and financial planning services to individual investors, family offices, institutions, charitable organizations, and businesses. The firm employs a combination of fundamental, technical, and quantitative analysis and utilizes a range of investment vehicles and external managers to support approximately $7.28 billion in assets under management.

Passive / index investing Options & derivatives strategies Private / alternative investments Founder/Business Owner Executive Retired HENRY (High Earners, Not Rich Yet)
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