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WEALTHSPIRE RETIREMENT, LLC, CRD 121254
ALISO VIEJO, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| MICHAEL TERNAN MCGUIRE | n/a | ALISO VIEJO, CA | 22 | 27 | n/a | no |
| TODD REID HOPPOCK | n/a | ALISO VIEJO, CA | BOISE, ID | 20 | 33 | n/a | no |
| SUSANN KATHLEEN HAAS | n/a | ALISO VIEJO, CA | 20 | 24 | n/a | no |
| JOEL BARRY SHAPIRO | n/a | ALISO VIEJO, CA | 20 | 20 | n/a | yes |
| ORLANDO JOSE TORRES | n/a | ALISO VIEJO, CA | 15 | 19 | n/a | yes |
| JOHN LAWRENCE LIVINGSTON | Certified Financial Planner | Dallas, TX | ALISO VIEJO, CA | 14 | 33 | n/a | no |
| JILL BARRY SHEA | n/a | ALISO VIEJO, CA | 13 | 33 | 4 | no |
| Solomon Stewart | Chartered Financial Analyst | ALISO VIEJO, CA | 12 | 15 | n/a | no |
| DANIEL JOSEPH KALLUS | Chartered Financial Analyst | HOUSTON, TX | ALISO VIEJO, CA | 12 | 26 | 1 | no |
| ALLISON FLINK | n/a | ALISO VIEJO, CA | Austin, TX | 12 | 23 | 1 | no |
| VINCENT GLEN LEARNED | Certified Financial Planner|Chartered Financial Analyst | ALISO VIEJO, CA | 11 | 16 | 4 | no |
| DAVID PAUL HEROUX | n/a | ALISO VIEJO, CA | New Smyrna Beach, FL | 11 | 22 | 4 | yes |
| LILY ANN MATIAS | n/a | ALISO VIEJO, CA | 11 | 31 | n/a | yes |
| ELIZABETH ANN MIKKELSON | n/a | Santa Barbara, CA | ALISO VIEJO, CA | 11 | 14 | n/a | no |
| THOMAS BRIAN BASTIN | n/a | ALISO VIEJO, CA | Weston, FL | 10 | 26 | 2 | no |
| PETER J SCHMITZ | Certified Financial Planner|Chartered Financial Analyst | ALISO VIEJO, CA | Plymouth, MN | 10 | 20 | 4 | no |
| BRADLEY LEWIS LARSEN | n/a | Stuart, FL | ALISO VIEJO, CA | 10 | 31 | 3 | no |
| RICHARD ROBERT KRUSE | Chartered Financial Consultant | ALISO VIEJO, CA | Plymouth, MN | 10 | 42 | n/a | no |
| STEVEN L FESTLER | n/a | Plymouth, MN | ALISO VIEJO, CA | 10 | 12 | 2 | no |
| ANTHONY ALLEN CARDINAL | n/a | ALISO VIEJO, CA | Lakewood Ranch, FL | 9 | 37 | n/a | yes |
| BARBARA ANNE HEALY | Certified Financial Planner | Scottsdale, AZ | ALISO VIEJO, CA | 9 | 45 | 4 | no |
| MARCEL JAMES DUPRE | n/a | New Orleans, LA | ALISO VIEJO, CA | 9 | 29 | 4 | no |
| STEVEN L PROM | n/a | Plymouth, MN | ALISO VIEJO, CA | 8 | 25 | 1 | no |
| JAMES V ADAM | n/a | Plymouth, MN | ALISO VIEJO, CA | 8 | 26 | n/a | no |
| JAMIE ANN HAYES | n/a | MAITLAND, FL | Maitland, FL | ALISO VIEJO, CA | 8 | 21 | 2 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| AON, PLC | Owner | E | yes | 06/2014 | May 28, 2024 | Jun 5, 2024 |
| ESPINOZA, JESSICA, BONARDI | MANAGING DIRECTOR | Na | yes | 03/2024 | Mar 27, 2024 | Jun 5, 2024 |
| GOLDSTEIN, JUSTIN, LOUIS | SENIOR VICE PRESIDENT | Na | yes | 03/2024 | Mar 27, 2024 | Jun 5, 2024 |
| JONES, KAMERON, ALEXANDER | SENIOR VICE PRESIDENT | Na | yes | 05/2023 | May 24, 2023 | Jun 5, 2024 |
| KEELING, GEOFFREY, VINCENT | CHIEF INVESTMENT OFFICER | Na | yes | 05/2023 | May 24, 2023 | Jun 5, 2024 |
| MOO, VERONICA, EI CHUN | Director | Na | yes | 07/2017 | Mar 31, 2021 | Jun 5, 2024 |
| NFP CORP. | Shareholder | E | yes | 07/2006 | Mar 9, 2015 | Jun 5, 2024 |
| NFP INTERMEDIATE HOLDINGS B. CORP. | Owner | E | yes | 07/2013 | Mar 9, 2015 | Jun 5, 2024 |
| O'MALLEY, EDWARD, GEORGE | Director | Na | yes | 02/2015 | Mar 31, 2021 | Jun 5, 2024 |
| RANDOLPH ACQUISITION CORP. | Owner | E | yes | 04/2024 | May 28, 2024 | Jun 5, 2024 |
| RANDOLPH FINANCE UNLIMITED COMPANY | Owner | E | yes | 04/2024 | May 28, 2024 | Jun 5, 2024 |
| SCHNEIDER, BRETT, RONALD | Director | Na | yes | 01/2009 | Mar 9, 2015 | Jun 5, 2024 |
| SHAPIRO, JOEL, BARRY | President | Na | yes | 05/2023 | Mar 20, 2012 | Jun 5, 2024 |
| STEWART, SOLOMON, JOHN | SENIOR VICE PRESIDENT | Na | yes | 05/2023 | May 24, 2023 | Jun 5, 2024 |
| YU, BRIAN, J | CHIEF COMPLIANCE OFFICER | Na | yes | 06/2023 | Jul 31, 2023 | Jun 5, 2024 |
| DOWLING, HANNAH, ROSE | ASSISTANT VICE PRESIDENT | Na | no | 05/2023 | May 24, 2023 | Jun 5, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| FIDUCIENT ADVISORS LLC | n/a | Mixed wealth | $98B | N | yes | n/a |
| WEALTHSPIRE ADVISORS LLC | n/a | Independent wealth | $34B | N | yes | n/a |
| FIDUCIARY FIRST, LLC | n/a | Institutional manager | $2.5B | N | yes | n/a |
| DIVERGENT WEALTH ADVISORS, LLC | n/a | Former SEC adviser | $617M | Y | yes | n/a |
| SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. | n/a | Institutional manager | $524M | N | yes | n/a |
| ACCOUNTANTS PROPRIETARY FINANCIAL SERVICENET, INC. | n/a | Other adviser | $464M | N | yes | n/a |
| NFP PROPERTY & CASUALTY SERVICES, INC. | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Bethesda | Md | United States | 21 | yes |
| Plymouth | Mn | United States | 9 | yes |
| Charlotte | Nc | United States | 5 | yes |
| Madison | Wi | United States | 5 | no |
| Cleveland | Oh | United States | 4 | yes |
| OKLAHOMA CITY | Ok | United States | 4 | no |
| Maitland | FL | United States | 3 | no |
| Atlanta | Ga | United States | 3 | no |
| Warrington | Pa | United States | 3 | yes |
| SANTA BARBARA | CA | United States | 2 | yes |
| Denver | Co | United States | 2 | no |
| Norwell | Ma | United States | 2 | no |
| Richmond | Vt | United States | 2 | no |
| Chicago | IL | United States | 1 | no |
| NEW ORLEANS | La | United States | 1 | no |
| Boston | Ma | United States | 1 | no |
| Troy | Mi | United States | 1 | no |
| Minneapolis | Mn | United States | 1 | no |
| Plainview | NY | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $39B | $39B | 244 | 139 | 50 | n/a | n/a |
| 2024 | Apr 16, 2025 | $118B | $29B | 240 | 149 | 44 | n/a | n/a |
| 2023 | Mar 27, 2024 | $96B | $20B | 219 | 131 | 26 | n/a | n/a |
| 2022 | Mar 31, 2023 | $75B | $13B | 251 | 128 | 26 | n/a | n/a |
| 2021 | Mar 30, 2022 | $79B | $11B | 217 | 107 | 26 | n/a | n/a |
| 2020 | Mar 31, 2021 | $69B | $10B | 151 | 63 | 26 | n/a | n/a |
| 2019 | Mar 30, 2020 | $59B | $6.5B | 191 | 80 | 23 | n/a | n/a |
| 2018 | Mar 28, 2019 | $57B | $5.9B | 162 | 78 | 26 | n/a | n/a |
| 2017 | Feb 20, 2018 | $48B | $2.6B | 162 | 78 | 26 | n/a | n/a |
| 2016 | Mar 6, 2017 | $43B | $1.3B | 135 | 71 | n/a | n/a | n/a |
| 2015 | Mar 14, 2016 | $35B | $1.5B | 105 | 66 | n/a | n/a | n/a |
| 2014 | Mar 9, 2015 | $28B | $3.3B | 75 | 66 | n/a | n/a | n/a |
| 2013 | Mar 11, 2014 | $29B | $555M | 75 | 54 | n/a | n/a | n/a |
| 2012 | Mar 4, 2013 | $17B | $1.1B | 56 | 48 | n/a | n/a | n/a |
| 2011 | Mar 20, 2012 | $13B | $997M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 7 | 3 | 4 | 2.1% | 3 | 0 | 0 | 45 | 15 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $39B | $118B | -67.3% | $75B | -19.9% | 244 | 240 | 50 | 44 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| ACCELERATE RETIREMENT | 10 | Jul 6, 2023 | Jan 2, 2026 | ALISO VIEJO, CA | Team lift out | Other | 10.6% |
| FIDUCIARY BENEFITS GROUP | 2 | May 12, 2023 | May 11, 2023 | ALISO VIEJO, CA | Team lift out | Other | 2.1% |
| NFP ADVISOR SERVICES, LLC | 6 | Jul 18, 2016 | Dec 15, 2015 | ALISO VIEJO, CA | Team lift out | Other | 16.2% |
| KESTRA ADVISORY SERVICES, LLC | 3 | Oct 2, 2015 | May 5, 2016 | ALISO VIEJO, CA | Team lift out | Other | 7.1% |
| NFP ADVISOR SERVICES, LLC | 3 | Oct 2, 2015 | Sep 1, 2015 | ALISO VIEJO, CA | Team lift out | Other | 7.1% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| DIVERGENT WEALTH ADVISORS, LLC | 10 | Sep 30, 2024 | Nov 29, 2023 | SOUTH JORDAN, UT | Firm absorbed | Other | 90.9% |
| KESTRA ADVISORY SERVICES, LLC | 3 | Mar 28, 2024 | Apr 11, 2024 | BETHESDA, MD | Team lift out | Other | 0.3% |
| KESTRA ADVISORY SERVICES, LLC | 2 | Mar 28, 2024 | Apr 29, 2024 | CHARLOTTE, NC | Team lift out | Other | 0.2% |
| KESTRA ADVISORY SERVICES, LLC | 2 | Mar 28, 2024 | Apr 12, 2024 | AUSTIN, TX | Team lift out | Other | 0.2% |
| WEALTHSPIRE ADVISORS | 2 | Mar 14, 2024 | Oct 25, 2023 | MIDLOTHIAN, VA | Channel change | Other | 40.0% |
| KESTRA ADVISORY SERVICES, LLC | 3 | Mar 28, 2023 | May 8, 2023 | AUSTIN, TX | Team lift out | Other | 0.3% |
| KESTRA ADVISORY SERVICES, LLC | 3 | Aug 15, 2022 | Dec 11, 2023 | BETHESDA, MD | Team lift out | Other | 0.3% |
| AFS ADVISORS, LLC | 3 | Mar 31, 2022 | Dec 21, 2021 | SUWANEE, GA | Firm absorbed | Other | 100.0% |
| Onedigital | 6 | Jan 6, 2022 | Jan 27, 2022 | OVERLAND PARK, KS | Team lift out | Other | 3.2% |
| REILLY FINANCIAL ADVISORS | 2 | Dec 1, 2021 | Dec 2, 2021 | LA MESA, CA | Team lift out | Other | 10.5% |
| BOK FINANCIAL ASSET MANAGEMENT, INC. | 2 | Jan 4, 2021 | Jan 6, 2021 | DENVER, CO | Team lift out | Other | 28.6% |
| WEALTHSPIRE ADVISORS | 7 | Dec 31, 2019 | Apr 4, 2024 | MADISON, WI | Channel change | Other | 10.6% |
| ERISA FIDUCIARY ADVISORS, INC. | 2 | Jul 1, 2016 | Jul 20, 2016 | WESTON, FL | Team lift out | Other | 100.0% |