DFX Intelligence

Data Factory

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

WEALTHSPIRE ADVISORS

WEALTHSPIRE ADVISORS, L.P., CRD 168095

POTOMAC, MD

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:bcb1efd1-2340-b27a-fd81-9c8a7cdf34d7

Data as of Jun 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 109
Dated events: 13
On other graphs: 2
Observed: Jun 3, 2013 to Jun 30, 2020
39 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Bronfman E.L. Rothschild, L.P.

Intermediary · shared crd

Allocatorsidentity

Wealthspire Advisors

Investment consultant · shared crd

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: $4.6BItem 5.F on the latest filing (2020-06-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.3B
Private client RAUM: $4.0BderivedItem 5.D individuals plus high net worth individuals
Private client share: 87%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 76
Advisory employees: 54
Offices: 9Schedule D 1.F, beyond the principal office
Accounts: 2,366
Individual clients: 1,146
High net worth clients: 816
Custody, client assets: $1.7B
SEC number: 801-78179
CRD: 168095
Filings on the tape: 39
First filed: Jun 3, 2013
Latest filed: Jun 30, 2020
Organised: Limited Partnership, 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
DEL PRIORE, MICHAEL, J	CHIEF COMPLIANCE OFFICER	Na	yes	01/2020	Jan 6, 2020	Jun 30, 2020
LAMENA, MICHAEL, ANTHONY	CHIEF EXECUTIVE OFFICER	Na	yes	05/2019	Sep 14, 2017	Jun 30, 2020
MADISON DEARBORN CAPITAL PARTNERS VI-A, L.P.	Owner	C	yes	07/2013	Jun 3, 2019	Jun 30, 2020
MADISON DEARBORN PARTNERS	GENERAL PARTNER	F	yes	07/2013	Jun 3, 2019	Jun 30, 2020
MADISON DEARBORN PARTNERS VI-A&C, L.P.	GENERAL PARTNER	F	yes	07/2013	Jun 3, 2019	Jun 30, 2020
NFP CORP.	Shareholder	E	yes	08/2005	Jun 3, 2019	Jun 30, 2020
NFP HOLDINGS, LLC	Owner	E	yes	07/2013	Jun 3, 2019	Jun 30, 2020
NFP INTERMEDIATE HOLDINGS A. CORP.	Owner	E	yes	07/2013	Jun 3, 2019	Jun 30, 2020
NFP INTERMEDIATE HOLDINGS B. CORP.	Owner	E	yes	07/2013	Jun 3, 2019	Jun 30, 2020
NFP PARENT CO, LLC	Owner	E	yes	10/2014	Jun 3, 2019	Jun 30, 2020
NFP ULTIMATE HOLDINGS, LLC	Owner	E	yes	02/2017	Jun 3, 2019	Jun 30, 2020
POWERS, BRIAN, DAVID	CHIEF FINANCIAL OFFICER	Na	yes	03/2006	Jun 3, 2013	Jun 30, 2020
SONTAG ADVISORY LLC	Owner	E	yes	05/2019	Jun 3, 2019	Jun 30, 2020
SONTAG BR GP, LLC	GENERAL PARTNER	Na	yes	05/2019	Jun 3, 2019	Jun 30, 2020
SONTAG, ERIC, MATTHEW	PRESIDENT & CHIEF OPERATIONS OFFICER	Na	yes	05/2019	Jun 3, 2019	Jun 30, 2020
SONTAG, HOWARD, VAUGHN	SR. MANAGING DIRECTOR	Na	yes	05/2019	Jun 3, 2019	Jun 30, 2020
STASTNEY, HOYT, RONALD	CHIEF LEGAL OFFICER	Na	yes	11/2016	Jan 12, 2017	Jun 30, 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
NFP RETIREMENT INC.	n/a	Institutional manager	$39B	N	yes	n/a
SONTAG ADVISORY LLC	n/a	Independent wealth	$34B	Y	yes	n/a
MICHAEL J. BURKE	n/a	n/a	n/a	N	no	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Reston	Va	United States	7	no
Delafield	Wi	United States	6	no
Madison	Wi	United States	5	no
Milwaukee	Wi	United States	5	no
NEW YORK	NY	United States	3	no
Philadelphia	Pa	United States	3	no
Appleton	Wi	United States	2	no
BOCA RATON	FL	United States	1	no
Janesville	Wi	United States	1	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
2019	Mar 30, 2020	$4.6B	$4.3B	76	54	8	n/a	n/a
2018	Mar 29, 2019	$5.8B	$5.6B	94	64	10	n/a	n/a
2017	Mar 30, 2018	$6.1B	$5.8B	91	66	10	n/a	n/a
2016	Mar 31, 2017	$4.5B	$4.3B	76	48	n/a	n/a	n/a
2015	Mar 30, 2016	$3.8B	$3.5B	74	47	n/a	n/a	n/a
2014	Mar 5, 2015	$2.1B	$2.1B	43	17	n/a	n/a	n/a
2013	Mar 28, 2014	$1.9B	$1.8B	42	17	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
2019	$4.6B	$5.8B	-21.3%	$4.5B	0.6%	76	94	9	10

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 RETIREMENT ADVISORY	7	Dec 31, 2019	Apr 4, 2024	MADISON, WI	Channel change	Other	10.6%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CAPITAL FIDUCIARY ADVISORS, LLC	3	Jun 2, 2017	May 27, 2017	RESTON, VA	Firm absorbed	Other	60.0%
TRICAPITAL ADVISORS INC	4	Feb 7, 2017	Mar 10, 2017	N BETHESDA, MD	Firm absorbed	Other	100.0%
HIGHLINE WEALTH MANAGEMENT, LLC	13	Dec 16, 2015	Sep 22, 2015	BETHESDA, MD	Firm absorbed	Other	100.0%
HIGHLINE WEALTH MANAGEMENT, LLC	4	Sep 1, 2015	Apr 20, 2016	ROCKVILLE, MD	Team lift out	Other	21.1%
LAKE COUNTRY WEALTH MANAGEMENT	3	May 6, 2015	Sep 8, 2015	DELAFIELD, WI	Firm absorbed	Other	100.0%
NEXT FINANCIAL GROUP, INC.	3	May 5, 2015	May 7, 2015	DELAFIELD, WI	Team lift out	Other	0.7%

Relationships

showing 80 of 109

Affiliated with (2)

→ WEALTHSPIRE ADVISORSRegistered adviserother investment adviser, control, common control
factForm ADV
→ WEALTHSPIRE RETIREMENT ADVISORYRegistered adviserother investment adviser, common control
factForm ADV

Controls (16)

← SONTAG ADVISORY LLCOwnerOWNER, ownership code E, domestic entity
Jun 3, 2019 to presentfactForm ADV
← SONTAG, HOWARD, VAUGHNOwnerSR. MANAGING DIRECTOR, ownership code NA, individual
Jun 3, 2019 to presentfactForm ADV
← MADISON DEARBORN PARTNERSOwnerGENERAL PARTNER, ownership code F, domestic entity
Jun 3, 2019 to presentfactForm ADV
← LAMENA, MICHAEL, ANTHONYOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Sep 14, 2017 to presentfactForm ADV
← POWERS, BRIAN, DAVIDOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jun 3, 2013 to presentfactForm ADV
← SONTAG, ERIC, MATTHEWOwnerPRESIDENT & CHIEF OPERATIONS OFFICER, ownership code NA, individual
Jun 3, 2019 to presentfactForm ADV
← DEL PRIORE, MICHAEL, JOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 6, 2020 to presentfactForm ADV
← STASTNEY, HOYT, RONALDOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Jan 12, 2017 to presentfactForm ADV
← MADISON DEARBORN CAPITAL PARTNERS VI-A, L.P.OwnerOWNER, ownership code C, domestic entity
Jun 3, 2019 to presentfactForm ADV
← MADISON DEARBORN PARTNERS VI-A&C, L.P.OwnerGENERAL PARTNER, ownership code F, domestic entity
Jun 3, 2019 to presentfactForm ADV
← NFP CORP.OwnerSHAREHOLDER, ownership code E, domestic entity
Jun 3, 2019 to presentfactForm ADV
← NFP INTERMEDIATE HOLDINGS A. CORP.OwnerOWNER, ownership code E, domestic entity
Jun 3, 2019 to presentfactForm ADV
← NFP INTERMEDIATE HOLDINGS B. CORP.OwnerOWNER, ownership code E, domestic entity
Jun 3, 2019 to presentfactForm ADV
← NFP PARENT CO, LLCOwnerOWNER, ownership code E, domestic entity
Jun 3, 2019 to presentfactForm ADV
← NFP ULTIMATE HOLDINGS, LLCOwnerOWNER, ownership code E, domestic entity
Jun 3, 2019 to presentfactForm ADV
← SONTAG BR GP, LLCOwnerGENERAL PARTNER, ownership code NA, domestic entity
Jun 3, 2019 to presentfactForm ADV

Moved with (1)

→ WEALTHSPIRE RETIREMENT ADVISORYRegistered adviser7 advisors, team lift out
Dec 31, 2019 to Apr 4, 2024factForm ADV

Registered with (60)

← GARY RICHARD SOBELMANAdvisorregistration: previous registration
Sep 22, 2015 to Dec 31, 2020factForm ADV
← KEVIN CHARLES KOSGARDAdvisorregistration: previous registration
Jun 26, 2013 to Dec 31, 2020factForm ADV
← AVIVA SHROCK PINTOAdvisorregistration: previous registration
Sep 22, 2015 to Dec 31, 2020factForm ADV
← JAY MORRIS FRANKAdvisorregistration: previous registration
May 7, 2015 to Dec 31, 2020factForm ADV
← JAY MICHAEL WEINSTEINAdvisorregistration: previous registration
Sep 22, 2015 to Dec 31, 2020factForm ADV
← THEODORE FLOOD LEASUREAdvisorregistration: previous registration
May 27, 2017 to Dec 31, 2020factForm ADV
← SCOTT NATHANIEL BRODYAdvisorregistration: previous registration
Sep 22, 2015 to Dec 31, 2020factForm ADV
← BRUCE ROBERT LANINGAdvisorregistration: previous registration
Jun 25, 2013 to Dec 31, 2020factForm ADV
← WILLIAM BRIAN SCHWARTZAdvisorregistration: previous registration
Sep 22, 2015 to Dec 31, 2020factForm ADV
← JULIETTE CHERIE WILLIAMSAdvisorregistration: previous registration
May 7, 2015 to Dec 31, 2020factForm ADV
← LAURA SUE BARRYAdvisorregistration: previous registration
Jun 13, 2013 to Dec 31, 2020factForm ADV
← MICHAEL J BURKEAdvisorregistration: previous registration
Mar 10, 2017 to Dec 31, 2020factForm ADV
← HOWARD PAUL OFFITAdvisorregistration: previous registration
Apr 5, 2016 to Dec 31, 2020factForm ADV
← BRION SCOTT COLLINSAdvisorregistration: previous registration
May 7, 2015 to Dec 31, 2020factForm ADV
← KEVIN PHILIP MOLONEYAdvisorregistration: previous registration
Jul 26, 2013 to Dec 31, 2020factForm ADV
← LIMIN LEEAdvisorregistration: previous registration
Feb 15, 2017 to Dec 31, 2020factForm ADV
← JAY ANTHONY CZARAPATAAdvisorregistration: previous registration
Jun 13, 2013 to Dec 31, 2020factForm ADV
← KELLY LYNN BAUMBACHAdvisorregistration: previous registration
Jun 13, 2013 to Dec 31, 2020factForm ADV
← MICHELE GABRIELLE WALTHERTAdvisorregistration: previous registration
Sep 22, 2015 to Dec 31, 2020factForm ADV
← DONALD BROOKE FARRENAdvisorregistration: previous registration
Feb 15, 2017 to Dec 31, 2020factForm ADV
← BART JOSEPH LANMANAdvisorregistration: previous registration
Feb 15, 2017 to Dec 31, 2020factForm ADV
← ASHLEY ELYSE IDDINGSAdvisorregistration: previous registration
Sep 22, 2015 to Dec 31, 2020factForm ADV
← BRENT THOMAS KATTERHEINRICHAdvisorregistration: previous registration
Sep 24, 2014 to Dec 31, 2020factForm ADV
← TIMOTHY RICHARD HUGHESAdvisorregistration: previous registration
Sep 22, 2015 to Dec 31, 2020factForm ADV
← KEVIN WALLACE SMITHAdvisorregistration: previous registration
May 21, 2018 to Dec 31, 2020factForm ADV
← KAREN ADELLE SMITHAdvisorregistration: previous registration
Jan 29, 2019 to Dec 31, 2020factForm ADV
← LAUREN PAIGE MARTINAdvisorregistration: previous registration
Nov 16, 2017 to Dec 31, 2020factForm ADV
← Christopher Allan OwensAdvisorregistration: previous registration
Jan 9, 2018 to Dec 31, 2020factForm ADV
← MICHAEL JAMES TYLERAdvisorregistration: previous registration
Jun 14, 2018 to Dec 31, 2020factForm ADV
← MAX JOSEPH MELTZERAdvisorregistration: previous registration
Sep 22, 2015 to Dec 31, 2020factForm ADV
and 30 more

Dated events

Occurred
Jan 6, 2020
Control person joined
J Michael Del Priore (Chief Compliance Officer) appeared on Schedule A of Wealthspire Advisors
Form ADVobserved 4 days ago
Occurred
Jun 3, 2019
Control person left
Eli Goldstein (Director) no longer on Schedule A of Wealthspire Advisors (listed 2019-03-29, absent 2019-06-03)
Form ADVobserved 4 days ago
Occurred
Jun 3, 2019
Control person left
Matthew Bronfman (Director) no longer on Schedule A of Wealthspire Advisors (listed 2019-03-29, absent 2019-06-03)
Form ADVobserved 4 days ago
Occurred
Jun 3, 2019
Control person left
Almog Geva (Manager) no longer on Schedule A of Wealthspire Advisors (listed 2019-03-29, absent 2019-06-03)
Form ADVobserved 4 days ago
Occurred
Jun 3, 2019
Control person left
Yaacov Shulem Fisher (Member) no longer on Schedule A of Wealthspire Advisors (listed 2019-03-29, absent 2019-06-03)
Form ADVobserved 4 days ago
Occurred
Jun 3, 2019
Control person left
Miles Edgar Jr. Bronfman (Trustee) no longer on Schedule A of Wealthspire Advisors (listed 2019-03-29, absent 2019-06-03)
Form ADVobserved 4 days ago
Occurred
Jun 3, 2019
Control person left
Jerry Neal Simon (Director) no longer on Schedule A of Wealthspire Advisors (listed 2019-03-29, absent 2019-06-03)
Form ADVobserved 4 days ago
Occurred
Jun 3, 2019
Control person left
Brian William Schwartz (Director) no longer on Schedule A of Wealthspire Advisors (listed 2019-03-29, absent 2019-06-03)
Form ADVobserved 4 days ago
Occurred
Jun 3, 2019
Control person left
Lynn Forester De Rothschild (Director) no longer on Schedule A of Wealthspire Advisors (listed 2019-03-29, absent 2019-06-03)
Form ADVobserved 4 days ago
Occurred
Jun 3, 2019
Control person joined
Vaughn Howard Sontag (Sr. Managing Director) appeared on Schedule A of Wealthspire Advisors
Form ADVobserved 4 days ago
Occurred
Jun 3, 2019
Control person joined
Matthew Eric Sontag (Chief Operations Officer) appeared on Schedule A of Wealthspire Advisors
Form ADVobserved 4 days ago
Occurred
Jun 3, 2013
Succession filed (Item 4)
Baker Tilly Investment Advisors, L.P. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago
Occurred
Jun 3, 2013
First Form ADV filing
Baker Tilly Investment Advisors, L.P. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bcb1efd1-2340-b27a-fd81-9c8a7cdf34d7
First observed: Jun 3, 2013
Last observed: Jun 30, 2020 75 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

WEALTHSPIRE ADVISORS, L.P., CRD 168095

POTOMAC, MD

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:bcb1efd1-2340-b27a-fd81-9c8a7cdf34d7

Data as of Jun 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:53 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DEL PRIORE, MICHAEL, J

CHIEF COMPLIANCE OFFICER

yes

01/2020

Jan 6, 2020

Jun 30, 2020

LAMENA, MICHAEL, ANTHONY

CHIEF EXECUTIVE OFFICER

yes

05/2019

Sep 14, 2017

Jun 30, 2020

MADISON DEARBORN CAPITAL PARTNERS VI-A, L.P.

Owner

yes

07/2013

Jun 3, 2019

Jun 30, 2020

MADISON DEARBORN PARTNERS

GENERAL PARTNER

yes

07/2013

Jun 3, 2019

Jun 30, 2020

MADISON DEARBORN PARTNERS VI-A&C, L.P.

GENERAL PARTNER

yes

07/2013

Jun 3, 2019

Jun 30, 2020

NFP CORP.

Shareholder

yes

08/2005

Jun 3, 2019

Jun 30, 2020

NFP HOLDINGS, LLC

Owner

yes

07/2013

Jun 3, 2019

Jun 30, 2020

NFP INTERMEDIATE HOLDINGS A. CORP.

Owner

yes

07/2013

Jun 3, 2019

Jun 30, 2020

NFP INTERMEDIATE HOLDINGS B. CORP.

Owner

yes

07/2013

Jun 3, 2019

Jun 30, 2020

NFP PARENT CO, LLC

Owner

yes

10/2014

Jun 3, 2019

Jun 30, 2020

NFP ULTIMATE HOLDINGS, LLC

Owner

yes

02/2017

Jun 3, 2019

Jun 30, 2020

POWERS, BRIAN, DAVID

CHIEF FINANCIAL OFFICER

yes

03/2006

Jun 3, 2013

Jun 30, 2020

SONTAG ADVISORY LLC

Owner

yes

05/2019

Jun 3, 2019

Jun 30, 2020

SONTAG BR GP, LLC

GENERAL PARTNER

yes

05/2019

Jun 3, 2019

Jun 30, 2020

SONTAG, ERIC, MATTHEW

PRESIDENT & CHIEF OPERATIONS OFFICER

yes

05/2019

Jun 3, 2019

Jun 30, 2020

SONTAG, HOWARD, VAUGHN

SR. MANAGING DIRECTOR

yes

05/2019

Jun 3, 2019

Jun 30, 2020

STASTNEY, HOYT, RONALD

CHIEF LEGAL OFFICER

yes

11/2016

Jan 12, 2017

Jun 30, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NFP RETIREMENT INC.

n/a

Institutional manager

$39B

yes

n/a

SONTAG ADVISORY LLC

n/a

Independent wealth

$34B

yes

n/a

MICHAEL J. BURKE

n/a

City

State

Country

Employees

Also broker-dealer

Reston

United States

Delafield

United States

Madison

United States

Milwaukee

United States

NEW YORK

United States

Philadelphia

United States

Appleton

United States

BOCA RATON

United States

Janesville

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 30, 2020

$4.6B

$4.3B

n/a

2018

Mar 29, 2019

$5.8B

$5.6B

n/a

2017

Mar 30, 2018

$6.1B

$5.8B

n/a

2016

Mar 31, 2017

$4.5B

$4.3B

n/a

2015

Mar 30, 2016

$3.8B

$3.5B

n/a

2014

Mar 5, 2015

$2.1B

n/a

2013

Mar 28, 2014

$1.9B

$1.8B

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

$4.6B

$5.8B

-21.3%

$4.5B

0.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WEALTHSPIRE RETIREMENT ADVISORY

Dec 31, 2019

Apr 4, 2024

MADISON, WI

Channel change

Other

10.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CAPITAL FIDUCIARY ADVISORS, LLC

Jun 2, 2017

May 27, 2017

RESTON, VA

Firm absorbed

Other

60.0%

TRICAPITAL ADVISORS INC

Feb 7, 2017

Mar 10, 2017

N BETHESDA, MD

Firm absorbed

Other

100.0%

HIGHLINE WEALTH MANAGEMENT, LLC

Dec 16, 2015

Sep 22, 2015

BETHESDA, MD

Firm absorbed

Other

100.0%

HIGHLINE WEALTH MANAGEMENT, LLC

Sep 1, 2015

Apr 20, 2016

ROCKVILLE, MD

Team lift out

Other

21.1%

LAKE COUNTRY WEALTH MANAGEMENT

May 6, 2015

Sep 8, 2015

DELAFIELD, WI

Firm absorbed

Other

100.0%

NEXT FINANCIAL GROUP, INC.

May 5, 2015

May 7, 2015

DELAFIELD, WI

Team lift out

Other

0.7%