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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

ASTERIA WEALTH LLC

CRD 285106

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:891f9d38-82d2-9abf-30dc-08b9bde8ef67

Data as of Jun 30, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 12
On other graphs: 0
Observed: Sep 8, 2016 to Jun 30, 2023
25 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
Regulatory AUM: $98.4MItem 5.F on the latest filing (2023-06-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $97.8M
Private client RAUM: $98.2MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 519
Individual clients: 351
High net worth clients: 18
SEC number: 801-108406
CRD: 285106
Filings on the tape: 25
First filed: Sep 8, 2016
Latest filed: Jun 30, 2023
Organised: Limited Liability Company, Delaware

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
HAMMER, SUZANNE, MARIO	CHIEF COMPLIANCE OFFICER	Na	yes	07/2022	Jul 25, 2022	Jun 30, 2023
THE WILDERMUTH FAMILY GIFT TRUST II	TRUST / MANAGING MEMBER	E	yes	08/2016	Sep 8, 2016	Jun 30, 2023
WILDERMUTH, DANIEL, LLOYD	Trustee	F	yes	08/2016	Sep 8, 2016	Jun 30, 2023
WILDERMUTH, DANIEL, LLOYD	CHIEF INVESTMENT OFFICER AND PRESIDENT	Na	yes	08/2016	Sep 8, 2016	Jun 30, 2023

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
KALOS MANAGEMENT, INC.	n/a	Former SEC adviser	$129M	N	yes	n/a
WILDERMUTH ADVISORY, LLC	n/a	Former SEC adviser	$121M	N	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	Offices	Private funds	Fund GAV
2022	Mar 25, 2023	$98.4M	$97.8M	6	2	0	n/a	n/a
2021	Mar 24, 2022	$128M	$118M	10	2	0	n/a	n/a
2020	Mar 29, 2021	$89.8M	$89.8M	8	4	0	n/a	n/a
2019	Mar 27, 2020	$112M	$112M	8	4	0	n/a	n/a
2018	Mar 22, 2019	$127M	$127M	8	4	0	n/a	n/a
2017	Mar 29, 2018	$135M	$135M	8	4	0	n/a	n/a
2016	Mar 31, 2017	$89.1M	$89.1M	3	3	n/a	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
2022	$98.4M	$128M	-23.2%	$112M	-4.3%	6	10	0	0

Relationships

Affiliated with (5)

→ KALOS MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
→ WILDERMUTH ADVISORY, LLCRegistered adviserother investment adviser, common control
factForm ADV
← WILDERMUTH ADVISORY, LLCRegistered adviserother investment adviser, common control
factForm ADV
← KALOS MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
← ADVISORS IMPACT, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (3)

← HAMMER, SUZANNE, MARIOOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 25, 2022 to presentfactForm ADV
← WILDERMUTH, DANIEL, LLOYDOwnerTRUSTEE, ownership code F, individual
Sep 8, 2016 to presentfactForm ADV
← THE WILDERMUTH FAMILY GIFT TRUST IIOwnerTRUST / MANAGING MEMBER, ownership code E, domestic entity
Sep 8, 2016 to presentfactForm ADV

Registered with (4)

← ADAM RYAN SMITHAdvisorregistration: previous registration
Oct 17, 2019 to Dec 19, 2022factForm ADV
← William Paul BoscowAdvisorregistration: previous registration
Apr 11, 2022 to Jun 8, 2022factForm ADV
← JOHN RAY WILLIAMSAdvisorregistration: previous registration
Oct 12, 2016 to Feb 27, 2020factForm ADV
← MICHAEL JOHN LEEAdvisorregistration: previous registration
Feb 15, 2018 to Mar 29, 2018factForm ADV

Dated events

Occurred
Dec 19, 2022
Advisor changed firm
Adam Ryan Smith left Asteria Wealth Llc for Merit Financial Advisors (registered 2022-12-21)
Form ADVobserved 6 days ago
Occurred
Nov 11, 2022
Control person left
A Chrissy Lee (Chief Operating Officer) no longer on Schedule A of Asteria Wealth Llc (listed 2022-07-25, absent 2022-11-11)
Form ADVobserved 6 days ago
Occurred
Nov 11, 2022
Control person left
Jean Carol Wildermuth (Cfo) no longer on Schedule A of Asteria Wealth Llc (listed 2022-11-11, absent 2022-11-11)
Form ADVobserved 6 days ago
Occurred
Jul 25, 2022
Control person joined
Mario Suzanne Hammer (Chief Compliance Officer) appeared on Schedule A of Asteria Wealth Llc
Form ADVobserved 6 days ago
Occurred
Jun 8, 2022
Advisor changed firm
William Paul Boscow left Asteria Wealth Llc for Pks Advisory Services, Llc (registered 2024-04-26)
Form ADVobserved 6 days ago
Occurred
Mar 9, 2022
Control person left
Joseph John Dillon (Chief Compliance Officer) no longer on Schedule A of Asteria Wealth Llc (listed 2021-09-08, absent 2022-03-09)
Form ADVobserved 6 days ago
Occurred
Mar 29, 2021
Control person joined
Jean Carol Wildermuth (Cfo) appeared on Schedule A of Asteria Wealth Llc
Form ADVobserved 6 days ago
Occurred
Apr 27, 2020
Control person left
Jean Carol Wildermuth (Trustee) no longer on Schedule A of Asteria Wealth Llc (listed 2020-03-27, absent 2020-04-27)
Form ADVobserved 6 days ago
Occurred
Mar 27, 2020
Control person joined
A Chrissy Lee (Chief Operating Officer) appeared on Schedule A of Asteria Wealth Llc
Form ADVobserved 6 days ago
Occurred
Feb 27, 2020
Control person left
Ray John Williams (Chief Compliance Officer) no longer on Schedule A of Asteria Wealth Llc (listed 2020-01-02, absent 2020-02-27)
Form ADVobserved 6 days ago
Occurred
Feb 27, 2020
Control person joined
Joseph John Dillon (Chief Compliance Officer) appeared on Schedule A of Asteria Wealth Llc
Form ADVobserved 6 days ago
Occurred
Sep 8, 2016
First Form ADV filing
Wildermuth Asset Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:891f9d38-82d2-9abf-30dc-08b9bde8ef67
First observed: Sep 8, 2016
Last observed: Jun 30, 2023 39 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.

ASTERIA WEALTH LLC

CRD 285106

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:891f9d38-82d2-9abf-30dc-08b9bde8ef67

Data as of Jun 30, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:56 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HAMMER, SUZANNE, MARIO

CHIEF COMPLIANCE OFFICER

yes

07/2022

Jul 25, 2022

Jun 30, 2023

THE WILDERMUTH FAMILY GIFT TRUST II

TRUST / MANAGING MEMBER

yes

08/2016

Sep 8, 2016

Jun 30, 2023

WILDERMUTH, DANIEL, LLOYD

Trustee

yes

08/2016

Sep 8, 2016

Jun 30, 2023

WILDERMUTH, DANIEL, LLOYD

CHIEF INVESTMENT OFFICER AND PRESIDENT

yes

08/2016

Sep 8, 2016

Jun 30, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

KALOS MANAGEMENT, INC.

n/a

Former SEC adviser

$129M

yes

n/a

WILDERMUTH ADVISORY, LLC

n/a

Former SEC adviser

$121M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 25, 2023

$98.4M

$97.8M

n/a

2021

Mar 24, 2022

$128M

$118M

n/a

2020

Mar 29, 2021

$89.8M

n/a

2019

Mar 27, 2020

$112M

n/a

2018

Mar 22, 2019

$127M

n/a

2017

Mar 29, 2018

$135M

n/a

2016

Mar 31, 2017

$89.1M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$98.4M

$128M

-23.2%

$112M

-4.3%