U.S. PRIVATE WEALTH, LLC of PALM BEACH GARDENS, FL is an SEC-registered investment adviser (CRD 167288). Regulatory assets under management: $200.3M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions.
| Name | Role | Location |
|---|---|---|
| Michael David Wall | MANAGING MEMBER | Palm Beach Gardens, FL |
| Dalton Jacob Helvey | CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-12-05 | regulatory | PENNSYLVANIA FOUND WPW AND MR. WALL TO HAVE RECOMMENDED AND SOLD SECURITIES TO AT LEAST ONE PENNSYLVANIA CLIENT THAT WAS OVER THE LIMIT OF 10% OF THE CLIENT'S TOTAL NET WORTH (OVER CONCENTRATION). | Final | $60K |
| 2016-09-26 | regulatory | FLORIDA FOUND MR. WALL DID NOT MAINTAIN AN ACCURATE FORM U4 OR COMPLY WITH THE CUSTODY REQUIREMENTS UNDER FLORIDA STATUTES. | Final | $15K |