ROYAL CAPITAL WEALTH MANAGEMENT LLC is an SEC-registered investment adviser (CRD 292217). Regulatory assets under management: $204.2M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Thomas Lee Johnson | MANAGING MEMBER | Sarasota, FL |
| Johnson Lee | MANAGING MEMBER; MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | Taipei City 100, F5 |
| Andrew Jay Johnson | MEMBER, CHIEF COMPLIANCE OFFICER | — |
| JOHNSON RICHARD JAY | MANAGING MEMBER; MEMBER, CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-01-22 | regulatory | MR. JOHNSON WAS NAMED A RESPONDENT IN A FINRA COMPLAINT ALLEGING THAT HE CONVERTED HIS MEMBER FIRM'S FUNDS WHICH HE HAD RECEIVED DUE TO A SYSTEM ERROR. THE COMPLAINT ALSO ALLEGES THAT IN BOTH A WRITTEN RESPONSE TO A REQUEST FOR INFORMATION AND AN ON-THE-RECORD INTERVIEW, MR. JOHNSON PROVIDED FALSE A… | Final | — |