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WEALTH STRATEGIES GROUP

NEWPORT BEACH, CA · CRD 326407 · IAPD ↗ · 888-848-4144

$102.9MRegulatory AUM
2Advisory reps
6Employees
0Clients
0Planning clients
0Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

95
October 2026 — WEALTH STRATEGIES GROUP (NEWPORT BEACH, CA) is newly SEC-registered with $102.9M RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
60
October 2024 — WEALTH STRATEGIES GROUP (NEWPORT BEACH, CA) left the SEC roster — its 120-day provisional registration did not convert (was $16.3M RAUM, 2 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
55
July 2024 — TRAVIS ALLEN INC. DBA WEALTH STRATEGIES GROUP is now doing business as WEALTH STRATEGIES GROUP.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
55
June 2024 — WEALTH STRATEGIES GROUP is now doing business as TRAVIS ALLEN INC. DBA WEALTH STRATEGIES GROUP.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
50
April 2024 — WEALTH STRATEGIES GROUP shrank from 4 to 2 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
61
April 2024 — WEALTH STRATEGIES GROUP reports 11-25 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.