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Roberto Roman

Mgo Private Wealth, LLC
20 Years of Experience
1 Disclosure
View SEC Summary
View SEC Summary
Areas of Practice
Retirement PlanningEducation PlanningEstate PlanningTax PlanningInsurance PlanningInvestment Management
Mgo Private Wealth, LLC
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
2 advisors
Number of Clients
71 clients
Average Client Portfolio
$2.9M average
Assets Under Management
$206.2M

Fee Structure

Minimum Investment:None
Financial Planning:Included in AUM fee

Location

111 Pacifica, Suite 300, Irvine, CA, 92618

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History

Regulatory History (1)
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Customer Dispute
February 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Roberto invests in pre-IPO and late-stage companies through Hartbeat Ventures since 2019. His role involves identifying and recommending opportunities in tech, consumer, and sports industries, co-investing with venture capital funds.

Employment History
Current Registrations
Mgo Private Wealth, LLC
July 2016 - Present · 9 yrs 7 mos
Previous Registrations
Legacy Private Client Group, INC.
November 2011 - December 2016 · 5 yrs 1 mo
Morgan Stanley Smith Barney LLC
September 2009 - November 2011 · 2 yrs 2 mos
UBS Financial Services INC.
September 2007 - September 2009 · 2 yrs
Wachovia Securities Financial Network, LLC
February 2007 - August 2007 · 6 mos
UBS Financial Services INC.
November 2005 - February 2007 · 1 yr 3 mos
State Registrations2 states
CATX
Advisor
Exams
No exam information available for this advisor.
Roberto Roman - Financial Advisor | TrueAdvisor