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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

CONSTELLATION WEALTH ADVISORS, LLC

CRD 289860

CINCINNATI, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:175d66a0-2307-ca00-8d86-2e85306ca40e

Data as of Mar 24, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 2
On other graphs: 0
Observed: Aug 28, 2017 to Mar 24, 2020
9 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 0
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-111760
CRD: 289860
Filings on the tape: 9
First filed: Aug 28, 2017
Latest filed: Mar 24, 2020
Organised: Limited Liability Company, Ohio

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
LAFLEY, PATRICK, ALAN	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	C	yes	08/2017	Aug 28, 2017	Mar 24, 2020
ROGERS, JAMES, PATRICK	MANAGING MEMBER	C	yes	08/2017	Aug 28, 2017	Mar 24, 2020
VEITH, TERRENCE, Michael	MANAGING MEMBER	Na	yes	09/2018	Feb 13, 2019	Mar 24, 2020
WILLIAMS, JOHN, MARSHALL	MANAGING MEMBER	C	yes	08/2017	Aug 28, 2017	Mar 24, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
QUADRANT CAPITAL GROUP LLC	n/a	Independent wealth	$5.4B	Y	yes	n/a
QUADRANT GP LLC	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2019	Mar 24, 2020	n/a	n/a	0	0	n/a	n/a
2018	Feb 13, 2019	$80.8M	$80.8M	9	9	n/a	n/a
2017	Mar 5, 2018	$20.8M	$20.8M	6	6	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	n/a	$80.8M	n/a	n/a	n/a	0	9	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CONSTELLATION WEALTH ADVISORS	5	May 28, 2020	Mar 24, 2020	CINCINNATI, OH	Firm absorbed	Other	62.5%

Relationships

Affiliated with (1)

→ CONSTELLATION WEALTH ADVISORSRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (4)

← ROGERS, JAMES, PATRICKOwnerMANAGING MEMBER, ownership code C, individual
Aug 28, 2017 to presentfactForm ADV
← WILLIAMS, JOHN, MARSHALLOwnerMANAGING MEMBER, ownership code C, individual
Aug 28, 2017 to presentfactForm ADV
← VEITH, TERRENCE, MichaelOwnerMANAGING MEMBER, ownership code NA, individual
Feb 13, 2019 to presentfactForm ADV
← LAFLEY, PATRICK, ALANOwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code C, individual
Aug 28, 2017 to presentfactForm ADV

Registered with (8)

← CHERYL NICOLE ROSEAdvisorregistration: previous registration
May 31, 2018 to May 28, 2020factForm ADV
← JOHN MARSHALL WILLIAMSAdvisorregistration: previous registration
Sep 29, 2017 to May 28, 2020factForm ADV
← DONNA STURGEON STERWERFAdvisorregistration: previous registration
Oct 26, 2017 to May 28, 2020factForm ADV
← NICHOLAS CONNOR REILLYAdvisorregistration: previous registration
Feb 6, 2019 to May 28, 2020factForm ADV
← JACOB MICHAEL GEGLEINAdvisorregistration: previous registration
Oct 26, 2017 to May 28, 2020factForm ADV
← PATRICK ALAN LAFLEYAdvisorregistration: previous registration
Sep 29, 2017 to May 28, 2020factForm ADV
← Kyle Wayne RudduckAdvisorregistration: previous registration
Oct 15, 2018 to May 28, 2020factForm ADV
← Kevin Byrne ThomasAdvisorregistration: previous registration
Jun 8, 2018 to May 28, 2020factForm ADV

Moved with (1)

→ CONSTELLATION WEALTH ADVISORSRegistered adviser5 advisors, firm absorbed, same day
May 28, 2020 to Mar 24, 2020factForm ADV

Dated events

Occurred
Feb 13, 2019
Control person joined
Michael Terrence Veith (Managing Member) appeared on Schedule A of Constellation Wealth Advisors, Llc
Form ADVobserved 5 days ago
Occurred
Aug 28, 2017
First Form ADV filing
Constellation Wealth Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:175d66a0-2307-ca00-8d86-2e85306ca40e
First observed: Aug 28, 2017
Last observed: Mar 24, 2020 79 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CONSTELLATION WEALTH ADVISORS, LLC

CRD 289860

CINCINNATI, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:175d66a0-2307-ca00-8d86-2e85306ca40e

Data as of Mar 24, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:04 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LAFLEY, PATRICK, ALAN

MANAGING MEMBER/CHIEF COMPLIANCE OFFICER

yes

08/2017

Aug 28, 2017

Mar 24, 2020

ROGERS, JAMES, PATRICK

MANAGING MEMBER

yes

08/2017

Aug 28, 2017

Mar 24, 2020

VEITH, TERRENCE, Michael

MANAGING MEMBER

yes

09/2018

Feb 13, 2019

Mar 24, 2020

WILLIAMS, JOHN, MARSHALL

MANAGING MEMBER

yes

08/2017

Aug 28, 2017

Mar 24, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

QUADRANT CAPITAL GROUP LLC

n/a

Independent wealth

$5.4B

yes

n/a

QUADRANT GP LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 24, 2020

n/a

2018

Feb 13, 2019

$80.8M

n/a

2017

Mar 5, 2018

$20.8M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

n/a

$80.8M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CONSTELLATION WEALTH ADVISORS

May 28, 2020

Mar 24, 2020

CINCINNATI, OH

Firm absorbed

Other

62.5%