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CRD 332803
INDIANAPOLIS, IN
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 |
|---|---|---|---|---|---|---|
| MAXWELL T MORITZ | Certified Financial Planner | INDIANAPOLIS, IN | 1 | 11 | 3 | no |
| NICHOLAS BELA PROKAI | n/a | INDIANAPOLIS, IN | 1 | 11 | 4 | no |
| THOMAS L CATES | n/a | INDIANAPOLIS, IN | 1 | 28 | 4 | no |
| PATRICK HAGAN DYKSTRA | n/a | INDIANAPOLIS, IN | 1 | 13 | 2 | no |
| ANTHONY J BONANNO | n/a | INDIANAPOLIS, IN | 1 | 40 | 4 | no |
| NATHANIEL JOHN MILLER | Chartered Financial Consultant | INDIANAPOLIS, IN | 1 | 26 | 4 | yes |
| ANDREW JAMES CORNELL | Certified Financial Planner | INDIANAPOLIS, IN | 1 | 29 | 4 | no |
| Chyathorn Scott Zipperle | n/a | INDIANAPOLIS, IN | 1 | 11 | 1 | no |
| TIMOTHY DANA BALES | Certified Financial Planner | Indianapolis, IN | 0 | 32 | 2 | no |
| Kevin Patrick Zeyen | n/a | INDIANAPOLIS, IN | 0 | 13 | 3 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BONANNO, ANTHONY, J | MANAGING MEMBER | E | yes | 08/2024 | Aug 8, 2024 | Dec 12, 2024 |
| CATES, THOMAS, L | Member | B | yes | 08/2024 | Aug 8, 2024 | Dec 12, 2024 |
| MORITZ, MAXWELL, T | Member | A | yes | 08/2024 | Aug 8, 2024 | Dec 12, 2024 |
| MILLER, NATHANIEL, JOHN | CHIEF OPERATING OFFICER | Na | no | 08/2024 | Aug 8, 2024 | Dec 12, 2024 |
| PAYNE, CHRISTOPHER, LEE | Cco | Na | no | 09/2024 | Sep 20, 2024 | Dec 12, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| WELLINGTON WEALTH STRATEGIES, LLC | n/a | Former SEC adviser | $146M | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $474M | $474M | 10 | 9 | 1 | 1 | n/a |
| 2024 | Mar 14, 2025 | $136M | $136M | 10 | 8 | 0 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2 | 0 | 2 | 0.0% | 0 | 0 | 0 | 11 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $474M | $136M | 247.2% | n/a | n/a | 10 | 10 | 1 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| WELLINGTON WEALTH STRATEGIES, LLC | 8 | Dec 31, 2024 | Nov 15, 2024 | INDIANAPOLIS, IN | Firm absorbed | RIA to RIA | 61.5% |