Wealth Strategies Group

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Client assets under management

$41,013,563

Clients

127

12% high-net worth

Advisors

of 5 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

Typical

Average account size

$322,941

About

Wealth Strategies Group provides discretionary portfolio management and investment consultation to individuals, high-net-worth clients, families, trusts, and small businesses. Services described in the firm brochure include individualized investment plans, ongoing portfolio management using equities, mutual funds, ETFs, options and bonds, and incidental financial planning.

The firm states it manages client accounts on a discretionary basis with custodial relationships (primarily Interactive Brokers) and conducts regular rebalancing and periodic reviews based on client goals, time horizon and risk tolerance. WSG also discloses that it allocates assets to a sponsored wrap-fee program when appropriate and that some separately managed accounts may employ borrowing and derivatives as part of their strategies.

WSG’s notable distinctions include charging a 20% performance-based fee for Qualified Clients (defined by the firm as $1,100,000 under management or $2,200,000 in net worth) calculated on a quarterly basis with a high‑water mark, and maintaining affiliated insurance activities where some representatives are licensed insurance agents and earn commission income separate from advisory fees. The firm is a California-registered adviser (registered in 2023) with an affiliated consulting business; these relationships and potential conflicts are disclosed and addressed in the brochure’s conflict‑management policies.

Client services

Financial planning Portfolio management

Expertise

Active portfolio management Options & derivatives strategies Retirement income strategy

Occupation focus

Founder/Business Owner Retired

Fee options

Commissions

Insurance commissions earned by persons licensed as insurance agents are separate and in addition to advisory fees.

Performance-based

20% performance fee on net-of-fee returns over blended benchmark, charged quarterly for Qualified Clients with at least $1,100,000 under management or $2,200,000 net worth.

Main office location

Wealth Strategies Group

2901 W. Coast Highway, Suite 200

Newport Beach CA 92663, United States

Number of offices

Most active in

California

Disclosures

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:

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

LinkedIn Facebook X Instagram Website 888-848-4144

Advisors at this firm

Travis A

CFP®, Series 63, Series 66

Newport Beach, CA

Wealth Strategies Group

Travis Allen is a CFP® with 29 years of industry experience, currently serving as an advisor at Wealth Strategies Group in Newport Beach, CA. He previously worked at Securities America Advisors, Inc. for 16 years and has managed his own firm, Travis Allen Inc. dba Wealth Strategies Group, since 2001. In addition to his advisory role, Allen is licensed as an insurance agent focusing on fixed insurance products. Wealth Strategies Group offers discretionary portfolio management and investment consultation to individuals, families, trusts, and small businesses. The firm provides individualized investment plans and ongoing portfolio management using a range of securities and employs regular rebalancing and periodic reviews tailored to client goals and risk tolerance.

Active portfolio management Options & derivatives strategies Retirement income strategy Founder/Business Owner Retired

Mark Y

CFP®, Series 63, Series 66

Newport Beach, CA

Wealth Strategies Group

Mark Yates is a CFP® with 21 years of industry experience, currently serving as an advisor at Wealth Strategies Group. He has previously worked with Securities America Advisors, Inc. and maintains a sole proprietorship focused on health, life, and fixed annuity insurance brokerage. Wealth Strategies Group provides discretionary portfolio management and investment consultation to individuals, high-net-worth clients, families, trusts, and small businesses, offering customized investment plans and ongoing portfolio management across a variety of asset classes. The firm manages client accounts primarily through Interactive Brokers, with regular rebalancing and periodic reviews tailored to client objectives.

Active portfolio management Options & derivatives strategies Retirement income strategy Founder/Business Owner Retired

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