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Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

WEALTHSPIRE ADVISORS

PRIVATE OCEAN, LLC, CRD 110666

SAN RAFAEL, CA

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:b8b3a2ed-d809-dcee-b8c8-90abae65a802

Data as of Apr 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 60
Dated events: 25
On other graphs: 0
Observed: Mar 24, 2012 to Apr 29, 2024
41 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: $2.8BItem 5.F on the latest filing (2024-04-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.8B
Private client RAUM: $2.8BderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 45
Advisory employees: 21
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 944
Individual clients: 275
High net worth clients: 662
Custody, client assets: $807M
SEC number: 801-20857
CRD: 110666
Filings on the tape: 41
First filed: Mar 24, 2012
Latest filed: Apr 29, 2024
Organised: Limited Liability Company, California

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
AON, PLC	Owner	E	yes	06/2014	Apr 29, 2024	Apr 29, 2024
DEL PRIORE, MICHAEL, J	CHIEF COMPLIANCE OFFICER	Na	yes	01/2022	Jan 11, 2022	Apr 29, 2024
LAMENA, MICHAEL, ANTHONY	CHIEF EXECUTIVE OFFICER	Na	yes	01/2022	Jan 11, 2022	Apr 29, 2024
LIESER, LORI, MICHELL	VICE PRESIDENT	Na	yes	01/2022	Jan 11, 2022	Apr 29, 2024
MOO, VERONICA, EI CHUN	Director	Na	yes	01/2022	Jan 11, 2022	Apr 29, 2024
MORIARTY, MICHAEL, JOSEPH	CHIEF INVESTMENT OFFICER	Na	yes	01/2022	Jan 11, 2022	Apr 29, 2024
NFP CORP.	Owner	E	yes	11/2017	Jan 11, 2022	Apr 29, 2024
NFP INTERMEDIATE HOLDINGS B. CORP.	Owner	E	yes	07/2013	Jan 11, 2022	Apr 29, 2024
O'MALLEY, EDWARD, GEORGE	Director	Na	yes	01/2022	Jan 11, 2022	Apr 29, 2024
POWERS, BRIAN, DAVID	CHIEF FINANCIAL OFFICER	Na	yes	01/2022	Jan 11, 2022	Apr 29, 2024
RANDOLPH ACQUISITION CORP.	Owner	E	yes	04/2024	Apr 29, 2024	Apr 29, 2024
RANDOLPH FINANCE UNLIMITED COMPANY	Owner	E	yes	04/2024	Apr 29, 2024	Apr 29, 2024
SCHNEIDER, BRETT, RONALD	Director	Na	yes	01/2022	Jan 11, 2022	Apr 29, 2024
SONTAG, ERIC, MATTHEW	PRESIDENT & CHIEF OPERATIONS OFFICER	Na	yes	01/2022	Jan 11, 2022	Apr 29, 2024
STASTNEY, HOYT, RONALD	CHIEF LEGAL OFFICER	Na	yes	01/2022	Jan 11, 2022	Apr 29, 2024
WEALTHSPIRE ADVISORS	Owner	E	yes	01/2022	Jan 11, 2022	Apr 29, 2024
WEALTHSPIRE HOLDINGS, LLC	Member	E	yes	11/2017	Jan 11, 2022	Apr 29, 2024

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
NFP RETIREMENT INC.	n/a	Institutional manager	$39B	N	yes	n/a
WEALTHSPIRE ADVISORS LLC	n/a	Independent wealth	$34B	Y	yes	n/a
GM ADVISORY GROUP, LLC	n/a	Former SEC adviser	$4.4B	N	yes	n/a
ACG ADVISORY SERVICES, LLC	n/a	Former SEC adviser	$518M	N	yes	n/a
NEWPORT PRIVATE WEALTH INC.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	12	no
Seattle	Wa	United States	5	no

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
2023	Mar 22, 2024	$2.8B	$2.8B	45	21	2	n/a	n/a
2022	Mar 31, 2023	$2.5B	$2.4B	44	23	2	n/a	n/a
2021	Mar 31, 2022	$2.8B	$2.8B	41	23	1	n/a	n/a
2020	Mar 25, 2021	$2.4B	$2.4B	46	25	1	n/a	n/a
2019	Mar 30, 2020	$2.3B	$2.3B	53	24	2	n/a	n/a
2018	Mar 29, 2019	$2.0B	$2.0B	53	24	3	n/a	n/a
2017	Jan 31, 2018	$1.6B	$1.6B	36	18	1	n/a	n/a
2016	Feb 24, 2017	$1.1B	$1.0B	24	11	n/a	n/a	n/a
2015	Mar 24, 2016	$956M	$934M	23	11	n/a	n/a	n/a
2014	Feb 18, 2015	$890M	$869M	23	12	n/a	n/a	n/a
2013	Mar 15, 2014	$880M	$847M	23	11	n/a	n/a	n/a
2012	Mar 28, 2013	$756M	$731M	25	11	n/a	n/a	n/a
2011	Mar 24, 2012	$670M	$643M	n/a	n/a	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
2023	$2.8B	$2.5B	14.9%	$2.4B	4.9%	45	44	2	2

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
WEALTHSPIRE ADVISORS	19	Sep 11, 2024	Aug 17, 2026	SAN RAFAEL, CA	Firm absorbed	RIA to RIA	90.5%
WEALTHSPIRE ADVISORS	2	Sep 11, 2024	Aug 30, 2024	SEATTLE, WA	Channel change	RIA to RIA	9.5%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MOSAIC FINANCIAL PARTNERS, INC.	6	Oct 19, 2018	Oct 11, 2018	SAN FRANCISCO, CA	Firm absorbed	RIA to RIA	85.7%
LAKEVIEW FINANCIAL GROUP LLC	3	Apr 18, 2018	Jan 2, 2018	SEATTLE, WA	Firm absorbed	Other	100.0%

Relationships

Affiliated with (9)

← WEALTHSPIRE ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
← WALDEN WEALTH PARTNERS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ WEALTHSPIRE ADVISORSRegistered adviserother investment adviser, control, common control
factForm ADV
→ WEALTHSPIRE ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
→ WEALTHSPIRE RETIREMENT ADVISORYRegistered adviserother investment adviser, common control
factForm ADV
→ WEALTHSPIRE ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
← WEALTHSPIRE ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
← HERON WEALTHRegistered adviserother investment adviser, common control
factForm ADV
← SAGE FINANCIAL ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (17)

← WEALTHSPIRE ADVISORSOwnerOWNER, ownership code E, domestic entity
Jan 11, 2022 to presentfactForm ADV
← LIESER, LORI, MICHELLOwnerVICE PRESIDENT, ownership code NA, individual
Jan 11, 2022 to presentfactForm ADV
← LAMENA, MICHAEL, ANTHONYOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Jan 11, 2022 to presentfactForm ADV
← MORIARTY, MICHAEL, JOSEPHOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Jan 11, 2022 to presentfactForm ADV
← POWERS, BRIAN, DAVIDOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jan 11, 2022 to presentfactForm ADV
← SCHNEIDER, BRETT, RONALDOwnerDIRECTOR, ownership code NA, individual
Jan 11, 2022 to presentfactForm ADV
← MOO, VERONICA, EI CHUNOwnerDIRECTOR, ownership code NA, individual
Jan 11, 2022 to presentfactForm ADV
← O'MALLEY, EDWARD, GEORGEOwnerDIRECTOR, ownership code NA, individual
Jan 11, 2022 to presentfactForm ADV
← SONTAG, ERIC, MATTHEWOwnerPRESIDENT & CHIEF OPERATIONS OFFICER, ownership code NA, individual
Jan 11, 2022 to presentfactForm ADV
← DEL PRIORE, MICHAEL, JOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 11, 2022 to presentfactForm ADV
← STASTNEY, HOYT, RONALDOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Jan 11, 2022 to presentfactForm ADV
← AON, PLCOwnerOWNER, ownership code E, foreign entity
Apr 29, 2024 to presentfactForm ADV
← NFP CORP.OwnerOWNER, ownership code E, domestic entity
Jan 11, 2022 to presentfactForm ADV
← NFP INTERMEDIATE HOLDINGS B. CORP.OwnerOWNER, ownership code E, domestic entity
Jan 11, 2022 to presentfactForm ADV
← RANDOLPH ACQUISITION CORP.OwnerOWNER, ownership code E, domestic entity
Apr 29, 2024 to presentfactForm ADV
← RANDOLPH FINANCE UNLIMITED COMPANYOwnerOWNER, ownership code E, foreign entity
Apr 29, 2024 to presentfactForm ADV
← WEALTHSPIRE HOLDINGS, LLCOwnerMEMBER, ownership code E, domestic entity
Jan 11, 2022 to presentfactForm ADV

Moved with (3)

→ WEALTHSPIRE ADVISORSRegistered adviser18 advisors, firm absorbed, same day
Sep 11, 2024 to Aug 17, 2026factForm ADV
← MOSAIC FINANCIAL PARTNERS, INC.Registered adviser6 advisors, firm absorbed, same day
Oct 19, 2018 to Oct 11, 2018factForm ADV
← LAKEVIEW FINANCIAL GROUP LLCRegistered adviser3 advisors, firm absorbed, same day
Apr 18, 2018 to Jan 2, 2018factForm ADV

Registered with (30)

← SHEILA MIE SCHROEDERAdvisorregistration: previous registration
Oct 11, 2018 to Sep 11, 2024factForm ADV
← JULIE ANN BACKAdvisorregistration: previous registration
Jan 2, 2018 to Sep 11, 2024factForm ADV
← STEPHEN ATWOOD KEPLERAdvisorregistration: previous registration
Oct 11, 2018 to Sep 11, 2024factForm ADV
← BRIANA KELLY KEYDELAdvisorregistration: previous registration
Jan 2, 2018 to Sep 11, 2024factForm ADV
← JUSTIN KARL HULTAdvisorregistration: previous registration
Oct 20, 2014 to Sep 11, 2024factForm ADV
← JUSTIN NICOLAS DETRAYAdvisorregistration: previous registration
Mar 31, 2014 to Sep 11, 2024factForm ADV
← CHARLES MERRYMAN PYFERAdvisorregistration: previous registration
Nov 20, 2012 to Sep 11, 2024factForm ADV
← SARAH ELIZABETH HARKNESS WOTHERSPOONAdvisorregistration: previous registration
Oct 10, 2012 to Sep 11, 2024factForm ADV
← T. STEVEN BRANTONAdvisorregistration: previous registration
Oct 11, 2018 to Sep 11, 2024factForm ADV
← BLAKE RYAN BARRAdvisorregistration: previous registration
Jun 27, 2024 to Sep 11, 2024factForm ADV
← MICHAEL ZACHARY MANGELSAdvisorregistration: previous registration
Oct 15, 2012 to Sep 11, 2024factForm ADV
← MICHAEL J DEL PRIOREAdvisorregistration: previous registration
Jan 11, 2022 to Sep 11, 2024factForm ADV
← WILLIAM HARRY BOCKWOLDTAdvisorregistration: previous registration
Sep 27, 2013 to Sep 11, 2024factForm ADV
← JOHN F THIELAdvisorregistration: previous registration
Apr 18, 2019 to Sep 11, 2024factForm ADV
← Julia Marie PenwellAdvisorregistration: previous registration
Nov 18, 2021 to Sep 11, 2024factForm ADV
← Amanda Curry FoxAdvisorregistration: previous registration
Oct 2, 2017 to Sep 11, 2024factForm ADV
← Sean Andrew HeymanAdvisorregistration: previous registration
Jun 21, 2022 to Sep 11, 2024factForm ADV
← LISA VICTORIA GRAHAMAdvisorregistration: previous registration
Dec 1, 2022 to Sep 11, 2024factForm ADV
← Ryan Charles MooreAdvisorregistration: previous registration
Dec 5, 2022 to Sep 11, 2024factForm ADV
← Tierney E HendersonAdvisorregistration: previous registration
Oct 27, 2022 to Sep 11, 2024factForm ADV
← Timothy L TalbottAdvisorregistration: previous registration
Jun 15, 2022 to Sep 11, 2024factForm ADV
← SABRINA FRANCIS LOWELLAdvisorregistration: previous registration
Oct 11, 2018 to Nov 15, 2021factForm ADV
← GEORGE ROBERT LANEAdvisorregistration: previous registration
Jan 2, 2018 to Apr 19, 2021factForm ADV
← MARY LOUISE BALLINAdvisorregistration: previous registration
Oct 11, 2018 to May 12, 2020factForm ADV
← ELIZABETH LAWRENCE REVENKOAdvisorregistration: previous registration
Oct 11, 2018 to Apr 22, 2020factForm ADV
← PAUL ALEXANDER AUSTINAdvisorregistration: previous registration
Dec 18, 2017 to Aug 24, 2018factForm ADV
← ROBERT JON STAMPS BRADFORDAdvisorregistration: previous registration
Mar 8, 2017 to May 8, 2018factForm ADV
← Alexander GanglAdvisorregistration: previous registration
Oct 16, 2012 to Jan 11, 2018factForm ADV
← SABRINA LEEAdvisorregistration: previous registration
Apr 2, 2013 to Jun 8, 2017factForm ADV
← RALPH GREGORY LATZAAdvisorregistration: previous registration
Oct 9, 2012 to Mar 28, 2013factForm ADV

Dated events

Occurred
Sep 11, 2024
Firm absorbed
Wealthspire Advisors's advisors moved to Wealthspire Advisors (San Rafael, CA): 18 of 21 registered, on the same day
Form ADVobserved 3 days ago
18 advisors
Occurred
Mar 22, 2024
Control person left
Hugh Gregory Friedman (Chief Strategy Officer) no longer on Schedule A of Wealthspire Advisors (listed 2023-03-31, absent 2024-03-22)
Form ADVobserved 3 days ago
Occurred
Mar 31, 2023
Control person left
Vaughn Howard Sontag (Sr. Managing Director) no longer on Schedule A of Wealthspire Advisors (listed 2022-11-03, absent 2023-03-31)
Form ADVobserved 3 days ago
Occurred
Mar 31, 2023
Control person left
Edwin James Decarlo (Chief Growth Officer) no longer on Schedule A of Wealthspire Advisors (listed 2022-11-03, absent 2023-03-31)
Form ADVobserved 3 days ago
Occurred
Jan 11, 2022
Control person left
Karl Justin Hult (Chief Compliance Officer) no longer on Schedule A of Wealthspire Advisors (listed 2021-11-04, absent 2022-01-11)
Form ADVobserved 3 days ago
Occurred
Jan 11, 2022
Control person left
Edward Frederick Dopfel (Direct Owner / Investment Committee Chair) no longer on Schedule A of Wealthspire Advisors (listed 2021-11-04, absent 2022-01-11)
Form ADVobserved 3 days ago
Occurred
Jan 11, 2022
Control person left
Anthony Michael Sbrocco (Chief Financial Officer) no longer on Schedule A of Wealthspire Advisors (listed 2021-11-04, absent 2022-01-11)
Form ADVobserved 3 days ago
Occurred
Jan 11, 2022
Control person joined
Vaughn Howard Sontag (Sr. Managing Director) appeared on Schedule A of Wealthspire Advisors
Form ADVobserved 3 days ago
Occurred
Jan 11, 2022
Control person joined
Ronald Brett Schneider (Director) appeared on Schedule A of Wealthspire Advisors
Form ADVobserved 3 days ago
Occurred
Jan 11, 2022
Control person joined
Michell Lori Lieser (Vice President) appeared on Schedule A of Wealthspire Advisors
Form ADVobserved 3 days ago
Occurred
Jan 11, 2022
Control person joined
Matthew Eric Sontag (President & Chief Operations Officer) appeared on Schedule A of Wealthspire Advisors
Form ADVobserved 3 days ago
Occurred
Jan 11, 2022
Control person joined
George Edward O'Malley (Director) appeared on Schedule A of Wealthspire Advisors
Form ADVobserved 3 days ago
Occurred
Jan 11, 2022
Control person joined
Ei Chun Veronica Moo (Director) appeared on Schedule A of Wealthspire Advisors
Form ADVobserved 3 days ago
Occurred
Jan 11, 2022
Control person joined
Ronald Hoyt Stastney (Chief Legal Officer) appeared on Schedule A of Wealthspire Advisors
Form ADVobserved 3 days ago
Occurred
Jan 11, 2022
Control person joined
Anthony Michael Lamena (Chief Executive Officer) appeared on Schedule A of Wealthspire Advisors
Form ADVobserved 3 days ago
Occurred
Jan 11, 2022
Control person joined
J Michael Del Priore (Chief Compliance Officer) appeared on Schedule A of Wealthspire Advisors
Form ADVobserved 3 days ago
Occurred
Jan 11, 2022
Control person joined
David Brian Powers (Chief Financial Officer) appeared on Schedule A of Wealthspire Advisors
Form ADVobserved 3 days ago
Occurred
Jan 11, 2022
Control person joined
Edwin James Decarlo (Chief Growth Officer) appeared on Schedule A of Wealthspire Advisors
Form ADVobserved 3 days ago
Occurred
Jan 11, 2022
Control person joined
Joseph Michael Moriarty (Chief Investment Officer) appeared on Schedule A of Wealthspire Advisors
Form ADVobserved 3 days ago
Occurred
Mar 25, 2021
Control person left
Diane Susan Duvall-Dickson (Chief Operating Officer) no longer on Schedule A of Wealthspire Advisors (listed 2020-11-24, absent 2021-03-25)
Form ADVobserved 3 days ago
Occurred
Nov 24, 2020
Control person joined
Anthony Michael Sbrocco (Chief Financial Officer) appeared on Schedule A of Wealthspire Advisors
Form ADVobserved 3 days ago
Occurred
Nov 24, 2020
Control person left
Joseph Frank Jones (Direct Owner / Co- Investment Committee Chair) no longer on Schedule A of Wealthspire Advisors (listed 2020-09-17, absent 2020-11-24)
Form ADVobserved 3 days ago
Occurred
Mar 29, 2019
Regulatory AUM changed
Wealthspire Advisors reported RAUM $2.0B, up 26% from $1.6B (2018-06-06 to 2019-03-29)
Form ADVobserved 3 days ago
$413M
Occurred
Mar 29, 2019
Control person left
Alan Richard Stone (Chairman) no longer on Schedule A of Wealthspire Advisors (listed 2018-06-06, absent 2019-03-29)
Form ADVobserved 3 days ago
Occurred
Jan 31, 2018
Regulatory AUM changed
Wealthspire Advisors reported RAUM $1.6B, up 51% from $1.1B (2017-09-28 to 2018-01-31)
Form ADVobserved 3 days ago
$540M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b8b3a2ed-d809-dcee-b8c8-90abae65a802
First observed: Mar 24, 2012
Last observed: Apr 29, 2024 29 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.

WEALTHSPIRE ADVISORS

PRIVATE OCEAN, LLC, CRD 110666

SAN RAFAEL, CA

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:b8b3a2ed-d809-dcee-b8c8-90abae65a802

Data as of Apr 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:47 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AON, PLC

Owner

yes

06/2014

Apr 29, 2024

DEL PRIORE, MICHAEL, J

CHIEF COMPLIANCE OFFICER

yes

01/2022

Jan 11, 2022

Apr 29, 2024

LAMENA, MICHAEL, ANTHONY

CHIEF EXECUTIVE OFFICER

yes

01/2022

Jan 11, 2022

Apr 29, 2024

LIESER, LORI, MICHELL

VICE PRESIDENT

yes

01/2022

Jan 11, 2022

Apr 29, 2024

MOO, VERONICA, EI CHUN

Director

yes

01/2022

Jan 11, 2022

Apr 29, 2024

MORIARTY, MICHAEL, JOSEPH

CHIEF INVESTMENT OFFICER

yes

01/2022

Jan 11, 2022

Apr 29, 2024

NFP CORP.

Owner

yes

11/2017

Jan 11, 2022

Apr 29, 2024

NFP INTERMEDIATE HOLDINGS B. CORP.

Owner

yes

07/2013

Jan 11, 2022

Apr 29, 2024

O'MALLEY, EDWARD, GEORGE

Director

yes

01/2022

Jan 11, 2022

Apr 29, 2024

POWERS, BRIAN, DAVID

CHIEF FINANCIAL OFFICER

yes

01/2022

Jan 11, 2022

Apr 29, 2024

RANDOLPH ACQUISITION CORP.

Owner

yes

04/2024

Apr 29, 2024

RANDOLPH FINANCE UNLIMITED COMPANY

Owner

yes

04/2024

Apr 29, 2024

SCHNEIDER, BRETT, RONALD

Director

yes

01/2022

Jan 11, 2022

Apr 29, 2024

SONTAG, ERIC, MATTHEW

PRESIDENT & CHIEF OPERATIONS OFFICER

yes

01/2022

Jan 11, 2022

Apr 29, 2024

STASTNEY, HOYT, RONALD

CHIEF LEGAL OFFICER

yes

01/2022

Jan 11, 2022

Apr 29, 2024

WEALTHSPIRE ADVISORS

Owner

yes

01/2022

Jan 11, 2022

Apr 29, 2024

WEALTHSPIRE HOLDINGS, LLC

Member

yes

11/2017

Jan 11, 2022

Apr 29, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NFP RETIREMENT INC.

n/a

Institutional manager

$39B

yes

n/a

WEALTHSPIRE ADVISORS LLC

n/a

Independent wealth

$34B

yes

n/a

GM ADVISORY GROUP, LLC

n/a

Former SEC adviser

$4.4B

yes

n/a

ACG ADVISORY SERVICES, LLC

n/a

Former SEC adviser

$518M

yes

n/a

NEWPORT PRIVATE WEALTH INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

SAN FRANCISCO

United States

Seattle

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 22, 2024

$2.8B

n/a

2022

Mar 31, 2023

$2.5B

$2.4B

n/a

2021

Mar 31, 2022

$2.8B

n/a

2020

Mar 25, 2021

$2.4B

n/a

2019

Mar 30, 2020

$2.3B

n/a

2018

Mar 29, 2019

$2.0B

n/a

2017

Jan 31, 2018

$1.6B

n/a

2016

Feb 24, 2017

$1.1B

$1.0B

n/a

2015

Mar 24, 2016

$956M

$934M

n/a

2014

Feb 18, 2015

$890M

$869M

n/a

2013

Mar 15, 2014

$880M

$847M

n/a

2012

Mar 28, 2013

$756M

$731M

n/a

2011

Mar 24, 2012

$670M

$643M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$2.8B

$2.5B

14.9%

$2.4B

4.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WEALTHSPIRE ADVISORS

Sep 11, 2024

Aug 17, 2026

SAN RAFAEL, CA

Firm absorbed

RIA to RIA

90.5%

WEALTHSPIRE ADVISORS

Sep 11, 2024

Aug 30, 2024

SEATTLE, WA

Channel change

RIA to RIA

9.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MOSAIC FINANCIAL PARTNERS, INC.

Oct 19, 2018

Oct 11, 2018

SAN FRANCISCO, CA

Firm absorbed

RIA to RIA

85.7%

LAKEVIEW FINANCIAL GROUP LLC

Apr 18, 2018

Jan 2, 2018

SEATTLE, WA

Firm absorbed

Other

100.0%