CWA ASSET MANAGEMENT GROUP

RIASEC RegisteredEst. 2014
Total AUM
$4.5B
Discretionary
$4.3B
95% of AUM
Avg account
$896K
Accounts
5,041
Employees
67
Advisory reps
45

Firm details

Headquarters
NAPLES, Florida
CRD number
158940
Registered since
May 22, 2014
Website
www.capitalwealthadvisors.com
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Fixed Fees, Performance Based Fees
Client types
  • HNWI86.51%
  • Individuals7.69%
  • Pension & Profit Sharing Plans2.57%
  • Corporations / Businesses1.58%
  • Charitable Organizations1.13%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersPublication of Periodicals

Firm profile

FINTRX

Overview

CWA Asset Management Group is an independent, SEC‑registered registered investment adviser organized as an LLC and active since 2014. The firm positions itself as a capital allocator for both individual/family and institutional clients, offering financial planning and portfolio management across retail and pooled vehicles. Fee arrangements include percentage‑of‑AUM, fixed fees and performance‑based fees. CWA also operates in complementary roles as an insurance broker and a commodity pool operator/CTA and serves as sponsor, GP or managing member of pooled investment vehicles. The firm does not flag itself as an active ESG investor. CWA earned placement on industry lists from Financial Times (Top 300 RIA Firms, 2020), FA Magazine (Top RIA Firms, 2020) and Forbes (Top RIA Firms, 2024).

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 55%, Public Funds/Mutual Funds 21%, State & Local Bonds 7%, Private Funds 5%, Cash & Cash Equivalents 5%, Investment Grade Corp Bonds 4%, US Government Bonds 2%, Non-Exchange Traded Equities 1%55%
  • Exchange Traded Equities55%
  • Public Funds/Mutual Funds21%
  • State & Local Bonds7%
  • Private Funds5%
  • Cash & Cash Equivalents5%

Owners & executives

3 of 7

  • BLAINE FERGUSON

    Chief Operating Officer, Managing PartnerCRD 4799223

  • RICHARD KNEPFLER

    Chief Financial OfficerCRD 6753873

  • LEWIS JOHNSON

    Chief Investment OfficerCRD 6095890

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Contacts

3 of 38

  • ZACHARY CRAIG

    Managing DirectorCRD 5124323

  • RYAN WHARTON

    Vice PresidentCRD 4853479

  • Derek Aicher

    Vice President, Private Wealth ManagementCRD 8186714

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 181

Active vs passive

$753M in ETFs

Passive

86%

$644M

Active

8%

$108M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES 1-3 YEAR TREASURY BOND ETF (SHY)BlackRockPassiveShort Government$72.5M877,6399.63%
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Location

Primary office

NAPLES, FL

COLLIER

Location

NAPLES, FL

Headquartered in NAPLES, FL, anchoring the Cape Coral-Fort Myers-Naples, FL metro in the South.

Metro area
Cape Coral-Fort Myers-Naples, FL
Region
South
County
COLLIER
Address
9130 Galleria Ct
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth