C
Capital Wealth Strategies, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$50,000,000
Clients
117
15% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
117
Very HighAverage account size
$427,350
About
Capital Wealth Strategies LLC is a registered investment adviser that provides ongoing portfolio management to individuals, high‑net‑worth individuals, and, notably, insurance company clients. The firm documents client goals and risk tolerance in an Investment Policy Statement and implements diversified portfolios primarily using ETFs, mutual funds, fixed income securities, and insurance products.
The firm uses research and pre-built model portfolios from The Sherman Sheet to construct custom blended models and pursues a medium‑term trading approach, with rebalancing or trades conducted on a quarterly basis when appropriate. It typically operates with discretionary trading authority when authorized and conducts at least quarterly reviews with written reporting to clients.
Distinctive elements disclosed in the brochure include serving insurance company clients, a client type that is uncommon among independent peers, and a prior regulatory disclosure: a 2017 FINRA suspension related to noncompliance with an arbitration award that was later lifted. The firm also discloses ancillary business activities (a short‑term rental) and that it does not use third‑party investment managers and has no account minimum, which may affect how services are delivered compared with peers.
Client services
Portfolio management
Expertise
Annuities
Fee options
1.00% annually
Main office location
Capital Wealth Strategies, LLC
3046 De La Vina St
Santa Barbara CA 93105, United States
Number of offices
1
Most active in
Capital Wealth Strategies, LLC has reported serving >5 clients in these states in the last 12 months.
California · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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.
Forms ADV
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