SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Capital Wealth Alliance, LLC
Scottsdale, AZ
CRD 298257
Firm filing updated August 1, 2026 ·
- $300.3MAssets
- 348Clients
- 3Advisory staff
- 861Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesYes
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals289
- High net worth individuals59
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 289 | $79.0 million |
| High net worth individuals | 59 | $221.3 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$300.3 million
- Accounts861
- Discretionary$299.3 million · 852 accounts
- Non-discretionary$962,765 · 9 accounts
People
- Employees5
- Advisory staff3
- Broker-dealer reps2
- Licensed insurance agents4
- Planning clients1 to 10
Advisors
2 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 298257, SEC file 801-113992.
- Registered with the SEC as an investment advisor (status date on record: September 13, 2018).
Is Capital Wealth Alliance, LLC a fiduciary?
Short answer: Capital Wealth Alliance, LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 2 staff are broker-dealer representatives. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
4 staff are licensed insurance agents and the firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.