Fees and Compensation — Form ADV Part 2A (1/29/2019)
[Brochure]
Item 5 Fees and Compensation
U.S Wealth Capital Advisors charges performance-based fees in addition to asset based fees and
has an economic incentive to aggressively manage assets and in an attempt to achieve positive
returns.
Clients may refer to Item 12 in this Part 2 ADV for more discussion on brokerage policies.
Item 6 Pe,formance-Based Fees and Side-By-Side Management
Robert Santarpia is a supervised person for both U.S. Wealth Group, LLC and U.S. Wealth Capital
Advisors, LLC. U.S Wealth Capital Advisors accepts performance-based fees in addition to asset
based fees and has an economic incentive to favor such accounts. U.S. Wealth Group manages
assets in a more conservative fashion, primarily owning positions it believes will increase over the
next three to four quarters. Trading in U.S. Wealth Group accounts is relatively limited as positions
are typically held in the magnitude of months. While clients of both firms may occasionally own
the same position, U.S. Wealth Group is given priority in the more conservative action to addressing
a position which usually means buying a position or selling a position in U.S Wealth Group accounts
before addressing U.S. Wealth Capital Advisor accounts. U.S. Wealth Group periodically reviews
execution to insure clients are getting fair and honest execution. U.S. Wealth Group, LLC does not
receive performance based fees.
Account Minimums and Types of Clients — Form ADV Part 2A (1/29/2019)
[Brochure]
Item 7 Types of Clients
U.S. Wealth Capital Advisors, LLC provides investment advice to U.S. Wealth Partners, LP.
Filed 2018-07-19 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $100,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
AUM Breakdown
Accounts
AUM ($M)
By Client Type
(a) Individuals (other than high net worth individuals)
0
0.0
(b) Individuals (high net worth individuals)
0
0.0
(c) Banking or thrift institutions
0
0.0
(d) Investment companies
0
0.0
(e) Business development companies
0
0.0
(f) Pooled investment vehicles
1
3.4
(g) Pension and profit sharing plans
0
0.0
(h) Charitable organizations
0
0.0
(i) State or municipal government entities
0
0.0
(j) Other investment advisers
0
0.0
(k) Insurance companies
0
0.0
(l) Sovereign wealth funds and foreign official institutions
0
0.0
(m) Corporations or other businesses not listed above