David S. Lake

CAPITAL WEALTH ADVISORS, LTD.

West Bend, WI 53095

Some features on this profile are disabled

CRD#: 1638504

Professional summary

David Scott Lake, who also goes by David Lake, is a registered financial advisor currently at CAPITAL WEALTH ADVISORS, LTD. located in West Bend, Wisconsin and CWP PRIVATE WEALTH MANAGEMENT located in West Bend, Wisconsin.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. David has worked at 6 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Lake

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

MEMBER, MANAGER AND EXCUTIVE VICE PRESIDEN TO BLACK EARTH LLC, A REAL ESTATE INVESTMENT COMPANY PRESIDENT & OWNER, CAPITAL WEALTH ADVISORS, LTD. A REGISTED INVESTMENT ADVISOR 03/2022 MEMBER HBW RIA SERVICES, LLC. A REGISTERED INVESTMENT ADVISOR

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Scott Lake's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 20, 2010 - Present

CAPITAL WEALTH ADVISORS, LTD.

Office #1: 1755 W. Paradise Dr., West Bend, WI 53095

RIA

CRD#: 155263

West Bend, WI

Current

September 25, 2015 - Present

CWP PRIVATE WEALTH MANAGEMENT

Office #1: 1755 W. Paradise Dr., West Bend, WI 53095

RIA

CRD#: 281520

West Bend, WI

Past

December 10, 2008 - November 30, 2010

WISCONSIN WEALTH ADVISORS, LLC

RIA

CRD#: 145946

WEST BEND, WI

Past

March 10, 1999 - November 22, 2010

HARBOUR INVESTMENTS, INC.

RIA

CRD#: 19258

WEST BEND, WI

Past

March 10, 1999 - November 22, 2010

HARBOUR INVESTMENTS, INC.

CRD#: 19258

WEST BEND, WI

Past

March 27, 1996 - March 10, 1999

DEMPSEY FINANCIAL NETWORK, INC.

CRD#: 38330

ATLANTA, GA

Past

April 19, 1991 - April 24, 1996

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CWP PRIVATE WEALTH MANAGEMENT

CWP PRIVATE WEALTH MANAGEMENT | RIA SERVICES, LLC

CRD#: 281520 / SEC#: 801-120760

RIA

Registered Investment Advisory firm - (4/9/2021 Approved)

Indiana

Registered Investment Advisory firm - (12/9/2021 Terminated)

Michigan

Registered Investment Advisory firm - (12/8/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/21/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(2/6/2012)

IAR

Texas
(3/25/2019)

IAR

Wisconsin
(10/20/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/8/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/23/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/15/1991

General Securities Representative Examination

Current Firm

CWP PRIVATE WEALTH MANAGEMENT

CWP PRIVATE WEALTH MANAGEMENT | RIA SERVICES, LLC

CRD#: 281520 / SEC#: 801-120760

RIA

Registered Investment Advisory firm - (4/9/2021 Approved)

Indiana

Registered Investment Advisory firm - (12/9/2021 Terminated)

Michigan

Registered Investment Advisory firm - (12/8/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/21/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1755 W. Paradise Dr., West Bend, WI 53095

Mailing Address

Po Box 495, West Bend, WI 53095

Phone number

(262) 226-2729

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/17/2025)

WRAP BROCHURE (3/17/2025)

Regulatory assets under management

Total Number of Accounts	1,053
AUM (Assets Under Management)	$ 221,743,528

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/10/2025	Cover Page	Report
07/25/2024	Cover Page	Report
10/13/2023	Cover Page	Report
11/28/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Amanda Earlywine

HUMAN INVESTING

IAR

Lake Oswego, OR

Melissa Grass

FREEDOM FINANCIAL ADVISORS, LLC

IAR

South Charleston, WV

Casey Mack

THE SUM

IAR

The Woodlands, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David S. Lake

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Scott Lake's CRS (Customer Relationship Summary).

Certified licenses

Experience

CWP PRIVATE WEALTH MANAGEMENT

WISCONSIN WEALTH ADVISORS, LLC

HARBOUR INVESTMENTS, INC.

HARBOUR INVESTMENTS, INC.

DEMPSEY FINANCIAL NETWORK, INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

CWP PRIVATE WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 10/8/2003

Series 63

Date: 4/23/1991

Series 7

Date: 4/15/1991

Current Firm

CWP PRIVATE WEALTH MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CWP PRIVATE WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors