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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

RAINSBERGER WEALTH ADVISORS

RAINSBERGER WEALTH ADVISORS, INC., CRD 108325

COLORADO SPRINGS, CO

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:ce873f27-96ac-b06d-785e-b6d53d4b2a8d

Data as of Mar 13, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 5
On other graphs: 0
Observed: Mar 29, 2012 to Mar 13, 2024
24 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: $356MItem 5.F on the latest filing (2024-03-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $333M
Private client RAUM: $354MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 980
Individual clients: 190
High net worth clients: 92
SEC number: 801-38096
CRD: 108325
Filings on the tape: 24
First filed: Mar 29, 2012
Latest filed: Mar 13, 2024
Organised: Corporation, Colorado

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
RAINSBERGER, ELLIS, DWIGHT	President	E	yes	03/2009	Mar 29, 2012	Mar 13, 2024
SUTTON, MALINDA, DAWN	Cco	Na	no	08/2013	Mar 27, 2014	Mar 13, 2024

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 13, 2024	$356M	$333M	8	4	0	n/a	n/a
2022	Mar 21, 2023	$303M	$287M	7	3	0	n/a	n/a
2021	Mar 16, 2022	$308M	$288M	6	2	0	n/a	n/a
2020	Mar 26, 2021	$248M	$231M	6	4	0	n/a	n/a
2019	Mar 25, 2020	$211M	$194M	5	3	0	n/a	n/a
2018	Mar 28, 2019	$185M	$169M	5	3	2	n/a	n/a
2017	Mar 30, 2018	$201M	$168M	5	3	2	n/a	n/a
2016	Mar 27, 2017	$167M	$155M	5	4	n/a	n/a	n/a
2015	Mar 17, 2016	$136M	$121M	6	2	n/a	n/a	n/a
2014	Mar 12, 2015	$131M	$113M	4	2	n/a	n/a	n/a
2013	Mar 27, 2014	$114M	$100M	5	2	n/a	n/a	n/a
2012	Apr 4, 2013	$105M	$92.8M	4	2	n/a	n/a	n/a
2011	Mar 29, 2012	$97.0M	$83.0M	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	$356M	$303M	17.5%	$248M	12.7%	8	7	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
WAVERLY ADVISORS, LLC	4	Apr 2, 2024	Nov 20, 2023	COLORADO SPRINGS, CO	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (1)

← RAINSBERGER, ELLIS, DWIGHTOwnerPRESIDENT, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV

Owns (1)

← SUTTON, MALINDA, DAWNOwnerCCO, ownership code NA, individual
Mar 27, 2014 to presentfactForm ADV

Registered with (5)

← ELLIS DWIGHT RAINSBERGERAdvisorregistration: previous registration
Jan 1, 1999 to Apr 2, 2024factForm ADV
← ERIK JAMES ASPELINAdvisorregistration: previous registration
Feb 10, 2021 to Apr 2, 2024factForm ADV
← MALINDA DAWN SUTTONAdvisorregistration: previous registration
Jul 15, 2023 to Apr 2, 2024factForm ADV
← BRETT MICHAEL BROWNFIELDAdvisorregistration: previous registration
Nov 30, 2022 to Apr 2, 2024factForm ADV
← DAVID JOSEPH STOCKAdvisorregistration: previous registration
Jul 3, 2009 to Nov 7, 2016factForm ADV

Moved with (1)

→ WAVERLY ADVISORS, LLCRegistered adviser4 advisors, firm absorbed, same day
Apr 2, 2024 to Nov 20, 2023factForm ADV

Dated events

Occurred
Apr 2, 2024
Firm absorbed
Rainsberger Wealth Advisors's advisors moved to Waverly Advisors, LLC (Colorado Springs, CO): 4 of 4 registered, on the same day
Form ADVobserved 5 days ago
4 advisors
Occurred
Apr 2, 2024
Advisor changed firm
Brett Michael Brownfield left Rainsberger Wealth Advisors for Waverly Advisors, Llc (registered 2023-11-16)
Form ADVobserved 6 days ago
Occurred
Apr 2, 2024
Advisor changed firm
Erik James Aspelin left Rainsberger Wealth Advisors for Waverly Advisors, Llc (registered 2023-11-16)
Form ADVobserved 6 days ago
Occurred
Apr 2, 2024
Advisor changed firm
Malinda Dawn Sutton left Rainsberger Wealth Advisors for Waverly Advisors, Llc (registered 2023-11-20)
Form ADVobserved 6 days ago
Occurred
Apr 2, 2024
Advisor changed firm
Ellis Dwight Rainsberger left Rainsberger Wealth Advisors for Waverly Advisors, Llc (registered 2023-11-17)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ce873f27-96ac-b06d-785e-b6d53d4b2a8d
First observed: Mar 29, 2012
Last observed: Mar 13, 2024 30 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.

RAINSBERGER WEALTH ADVISORS

RAINSBERGER WEALTH ADVISORS, INC., CRD 108325

COLORADO SPRINGS, CO

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:ce873f27-96ac-b06d-785e-b6d53d4b2a8d

Data as of Mar 13, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:53 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

RAINSBERGER, ELLIS, DWIGHT

President

yes

03/2009

Mar 29, 2012

Mar 13, 2024

SUTTON, MALINDA, DAWN

Cco

08/2013

Mar 27, 2014

Mar 13, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 13, 2024

$356M

$333M

n/a

2022

Mar 21, 2023

$303M

$287M

n/a

2021

Mar 16, 2022

$308M

$288M

n/a

2020

Mar 26, 2021

$248M

$231M

n/a

2019

Mar 25, 2020

$211M

$194M

n/a

2018

Mar 28, 2019

$185M

$169M

n/a

2017

Mar 30, 2018

$201M

$168M

n/a

2016

Mar 27, 2017

$167M

$155M

n/a

2015

Mar 17, 2016

$136M

$121M

n/a

2014

Mar 12, 2015

$131M

$113M

n/a

2013

Mar 27, 2014

$114M

$100M

n/a

2012

Apr 4, 2013

$105M

$92.8M

n/a

2011

Mar 29, 2012

$97.0M

$83.0M

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

$356M

$303M

17.5%

$248M

12.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WAVERLY ADVISORS, LLC

Apr 2, 2024

Nov 20, 2023

COLORADO SPRINGS, CO

Firm absorbed

RIA to RIA

100.0%