WEALTH MANAGEMENT
Wealth Manager Boca Raton
Dually licensed advisor for Boca professionals, business owners, and families who want one human they can actually call.
Boca Raton anchors a high-AUM corridor across Palm Beach County, with reach into Broward and Miami-Dade. Some South Florida clients prefer the model of a dually licensed advisor — reachable by phone, personally familiar with the situation, and able to work in either a brokerage (Series 7) or advisory (Series 65) capacity with written disclosure per FINRA and SEC rules.
WHY BOCA IS DIFFERENT
Coordination Across Fragmented Accounts
Many Boca households work with more than one advisor across multiple firms. Where coordination is limited, the plan can become fragmented across accounts and instruments.
Where desired, I can review what’s already in place and provide a written second-opinion analysis — describing how the pieces fit together and identifying areas where coordination may be improved. This is an educational review, not a recommendation to replace any existing advisor.
WHO I WORK WITH
South Florida Professionals & Business Owners
- Professionals — physicians, attorneys, C-suite, consultants across Palm Beach, Broward, and Miami-Dade Counties
- Business owners — founders, partners, family-business operators throughout the South Florida region (Mizner Park / Town Center / Las Olas / Aventura corridors)
- Retirees & pre-retirees — often downshifting from the Northeast into Palm Beach, Broward, or Miami-Dade County, with scattered account structures that need cleanup
- Athletes, entertainers & 1099 creatives — region-wide specialty across all three South Florida counties
SERVICES
What I Do
- Dual-license advisory — Series 7 and Series 65, through Pinnacle Investments, LLC
- Written financial plans — with tax, investment, protection, and estate coordination
- Second-opinion reviews — read what your current advisor has built, tell you honestly what’s working and what isn’t
- Pre-signing financial reviews — for contracts and business deals
- Consolidation playbooks — for households with 6+ scattered accounts
WHERE WE MEET
In-Person Meeting Locations
In-person meetings can be arranged near:
- Mizner Park
- Royal Palm Place
- Town Center corridor
- Boca Executive Airport area
- East Boca / A1A corridor
Scheduling an in-person meeting? The office address is disclosed at 7601 N Federal Highway, Suite 125 — please confirm when you book.
FREQUENTLY ASKED
Common Questions
Do you have minimum assets?
There is no hard dollar minimum for a first conversation. Complex plans and advisory relationships generally make sense at meaningful asset levels; I’ll tell you honestly whether the fit is right at the end of the first meeting.
I already work with a big firm. Why would I switch?
You may not need to switch. Most of my Boca clients started as second-opinion reviews. Some stayed where they were after the review and implemented recommendations with their existing advisor. Others consolidated here. Both outcomes are valid.
Are you a fiduciary?
Dually licensed — Series 7 (FINRA) and Series 65 (state). In the Series 65 capacity I act in a fiduciary role on advisory accounts. In the Series 7 capacity different standards apply. Every recommendation is accompanied by written disclosure of the capacity in which it is made. See Form CRS.
How do fees work?
Fees depend on the capacity (advisory vs. brokerage) and the services provided. All fees are disclosed in writing before any account is opened. No hidden trails, no verbal-only agreements.
Boca Residents — Get a Second-Opinion Review at No Cost
A written second-opinion review is available at no cost for the first meeting.
Compliance Notice
Charles Stewart III is a registered representative and investment adviser representative of Pinnacle Investments, LLC, Member FINRA/SIPC. Content on this page is informational only and does not constitute investment, tax, or legal advice. Investing involves risk, including possible loss of principal. Verify registration status at brokercheck.finra.org. CRD #7951901.
Last reviewed: April 17, 2026 — Charles Stewart III, RR/IAR, Pinnacle Investments, LLC.