DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Wealthspire Advisors

Former SEC-registered adviserSan Rafael, CaliforniaCRD 110666SEC 801-20857IAPD
Legal name Private Ocean, LLC
Latest filing Apr 29, 2024
First filing on the tape Mar 24, 2012 · 41 filings
RAUM
$2.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.8B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
45
21 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$2.8B as of Mar 22, 2024
Mar 24, 2012$670M then
HNW client RAUM$2.7B as of Mar 22, 2024
Jan 31, 2018$1.4B then
State-registered IARs (5.B.3)20 as of Mar 22, 2024
Mar 28, 20137 then
Employees (5.A)45 as of Mar 22, 2024
Mar 28, 201325 then
Private funds: no history
RAUM +15% over the last fiscal year+4.9% a year over threeIARs 23 to 20
Practice profile
derived from the filing of Apr 29, 2024; every figure names its basis
RAUM per advisor
$141MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
47derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.0MderivedHNW RAUM over HNW clients
Average account
$3.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
6.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
-13%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.2%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Financial planning clients
1,000reportedItem 5.H
Custody
$807M, 670 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$2.7B95%
  • Individuals$137M4.9%
  • Charitable organizations$6.8M0.2%
  • Pension and profit-sharing plans$3.3M0.1%
  • Corporations and businesses$2.8M0.1%
Individual clients
275reported
HNW clients
662reported
Pension plan clients
2reported
Charitable clients
3reported
Accounts
944reported
Financial planning clients
1,000reported
Wrap fee programs
noreported
Custody of client assets
$807M for 670 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • J Michael Del Priore · Chief Compliance Officercontrol
    since 01/2022 · owns less than 5%
  • Anthony Michael Lamena · Chief Executive Officercontrol
    since 01/2022 · owns less than 5%
  • Michell Lori Lieser · Vice Presidentcontrol
    since 01/2022 · owns less than 5%
  • Ei Chun Veronica Moo · Directorcontrol
    since 01/2022 · owns less than 5%
  • Joseph Michael Moriarty · Chief Investment Officercontrol
    since 01/2022 · owns less than 5%
  • George Edward O'Malley · Directorcontrol
    since 01/2022 · owns less than 5%
  • David Brian Powers · Chief Financial Officercontrol
    since 01/2022 · owns less than 5%
  • Ronald Brett Schneider · Directorcontrol
    since 01/2022 · owns less than 5%
  • Matthew Eric Sontag · President & Chief Operations Officercontrol
    since 01/2022 · owns less than 5%
  • Ronald Hoyt Stastney · Chief Legal Officercontrol
    since 01/2022 · owns less than 5%
Entity owners
  • Wealthspire Advisors · Owner
    direct · owns 75% or more
  • Aon, Plc · Owner
    indirect · owns 75% or more of Randolph Finance Unlimited Company
  • Nfp Corp. · Owner
    indirect · owns 75% or more of Wealthspire Holdings, LLC
  • Nfp Intermediate Holdings B. Corp. · Owner
    indirect · owns 75% or more of Nfp Corp.
  • Randolph Acquisition Corp. · Owner
    indirect · owns 75% or more of Nfp Intermediate Holdings B. Corp.
  • Randolph Finance Unlimited Company · Owner
    indirect · owns 75% or more of Randolph Acquisition Corp.
  • Wealthspire Holdings, LLC · Member
    indirect · owns 75% or more of Wealthspire Advisors
Related persons
Schedule D 7.A
Advisers that list Wealthspire Advisors as a related person
Offices
Schedule D 1.F, the 25 largest
  • San Francisco, CA12 employees
  • Seattle, WA5 employees
What changed
consecutive filings, newest first
  • Related bank · false to true
    Mar 22, 2024 to Apr 29, 2024
  • Related broker-dealer · false to true
    Mar 22, 2024 to Apr 29, 2024
  • Accounts · 934 to 944
    Mar 31, 2023 to Mar 22, 2024
  • Advisory employees · 23 to 21
    Mar 31, 2023 to Mar 22, 2024
  • HNW clients · 621 to 662
    Mar 31, 2023 to Mar 22, 2024
  • Individual clients · 305 to 275
    Mar 31, 2023 to Mar 22, 2024
  • Pension plan clients · 3 to 2
    Mar 31, 2023 to Mar 22, 2024
  • Assets in custody · $862M to $807M
    Mar 31, 2023 to Mar 22, 2024
  • Employees · 44 to 45
    Mar 31, 2023 to Mar 22, 2024
  • State-registered IARs · 23 to 20
    Mar 31, 2023 to Mar 22, 2024
  • Discretionary RAUM · $2.4B to $2.8B
    Mar 31, 2023 to Mar 22, 2024
  • HNW RAUM · $2.3B to $2.7B
    Mar 31, 2023 to Mar 22, 2024
  • Individual RAUM · $142M to $137M
    Mar 31, 2023 to Mar 22, 2024
  • Non-discretionary RAUM · $13.5M to $13.4M
    Mar 31, 2023 to Mar 22, 2024
  • Pension RAUM · $3.6M to $3.3M
    Mar 31, 2023 to Mar 22, 2024
  • RAUM · $2.5B to $2.8B
    Mar 31, 2023 to Mar 22, 2024
  • Accounts · 3,655 to 934
    Nov 3, 2022 to Mar 31, 2023
  • Charity clients · 4 to 3
    Nov 3, 2022 to Mar 31, 2023
  • HNW clients · 645 to 621
    Nov 3, 2022 to Mar 31, 2023
  • Individual clients · 288 to 305
    Nov 3, 2022 to Mar 31, 2023
  • Pension plan clients · 4 to 3
    Nov 3, 2022 to Mar 31, 2023
  • Assets in custody · $612M to $862M
    Nov 3, 2022 to Mar 31, 2023
  • Employees · 41 to 44
    Nov 3, 2022 to Mar 31, 2023
  • Other offices · 1 to 2
    Nov 3, 2022 to Mar 31, 2023
  • Discretionary RAUM · $2.8B to $2.4B
    Nov 3, 2022 to Mar 31, 2023
  • HNW RAUM · $2.7B to $2.3B
    Nov 3, 2022 to Mar 31, 2023
  • Individual RAUM · $137M to $142M
    Nov 3, 2022 to Mar 31, 2023
  • Non-discretionary RAUM · $11.7M to $13.5M
    Nov 3, 2022 to Mar 31, 2023
  • Pension RAUM · $5.2M to $3.6M
    Nov 3, 2022 to Mar 31, 2023
  • RAUM · $2.8B to $2.5B
    Nov 3, 2022 to Mar 31, 2023
  • Business name · PRIVATE OCEAN to WEALTHSPIRE ADVISORS
    May 23, 2022 to Nov 3, 2022
  • Accounts · 3,601 to 3,655
    Jan 11, 2022 to Mar 31, 2022
  • Advisory employees · 25 to 23
    Jan 11, 2022 to Mar 31, 2022
  • Charity clients · 5 to 4
    Jan 11, 2022 to Mar 31, 2022
  • Corporate clients · unset to 2.0
    Jan 11, 2022 to Mar 31, 2022
  • HNW clients · 607 to 645
    Jan 11, 2022 to Mar 31, 2022
  • Individual clients · 336 to 288
    Jan 11, 2022 to Mar 31, 2022
  • Pension plan clients · unset to 4.0
    Jan 11, 2022 to Mar 31, 2022
  • Assets in custody · $398M to $612M
    Jan 11, 2022 to Mar 31, 2022
  • Employees · 46 to 41
    Jan 11, 2022 to Mar 31, 2022
Signals
25 dated events
  • Wealthspire Advisors's advisors moved to Wealthspire Advisors (San Rafael, CA): 18 of 21 registered, on the same day
    Sep 11, 2024 · Firm absorbed (people side) · derived
  • Hugh Gregory Friedman (Chief Strategy Officer) no longer on Schedule A of Wealthspire Advisors (listed 2023-03-31, absent 2024-03-22)
    Mar 22, 2024 · Control person left · inference
  • Edwin James Decarlo (Chief Growth Officer) no longer on Schedule A of Wealthspire Advisors (listed 2022-11-03, absent 2023-03-31)
    Mar 31, 2023 · Control person left · inference
  • Vaughn Howard Sontag (Sr. Managing Director) no longer on Schedule A of Wealthspire Advisors (listed 2022-11-03, absent 2023-03-31)
    Mar 31, 2023 · Control person left · inference
  • Matthew Eric Sontag (President & Chief Operations Officer) appeared on Schedule A of Wealthspire Advisors
    Jan 11, 2022 · Control person joined · fact
  • George Edward O'Malley (Director) appeared on Schedule A of Wealthspire Advisors
    Jan 11, 2022 · Control person joined · fact
  • Ei Chun Veronica Moo (Director) appeared on Schedule A of Wealthspire Advisors
    Jan 11, 2022 · Control person joined · fact
  • Vaughn Howard Sontag (Sr. Managing Director) appeared on Schedule A of Wealthspire Advisors
    Jan 11, 2022 · Control person joined · fact
  • Ronald Brett Schneider (Director) appeared on Schedule A of Wealthspire Advisors
    Jan 11, 2022 · Control person joined · fact
  • Michell Lori Lieser (Vice President) appeared on Schedule A of Wealthspire Advisors
    Jan 11, 2022 · Control person joined · fact
  • Anthony Michael Lamena (Chief Executive Officer) appeared on Schedule A of Wealthspire Advisors
    Jan 11, 2022 · Control person joined · fact
  • J Michael Del Priore (Chief Compliance Officer) appeared on Schedule A of Wealthspire Advisors
    Jan 11, 2022 · Control person joined · fact
  • David Brian Powers (Chief Financial Officer) appeared on Schedule A of Wealthspire Advisors
    Jan 11, 2022 · Control person joined · fact
  • Edwin James Decarlo (Chief Growth Officer) appeared on Schedule A of Wealthspire Advisors
    Jan 11, 2022 · Control person joined · fact
  • Joseph Michael Moriarty (Chief Investment Officer) appeared on Schedule A of Wealthspire Advisors
    Jan 11, 2022 · Control person joined · fact
  • Ronald Hoyt Stastney (Chief Legal Officer) appeared on Schedule A of Wealthspire Advisors
    Jan 11, 2022 · Control person joined · fact
  • Karl Justin Hult (Chief Compliance Officer) no longer on Schedule A of Wealthspire Advisors (listed 2021-11-04, absent 2022-01-11)
    Jan 11, 2022 · Control person left · inference
  • Edward Frederick Dopfel (Direct Owner / Investment Committee Chair) no longer on Schedule A of Wealthspire Advisors (listed 2021-11-04, absent 2022-01-11)
    Jan 11, 2022 · Control person left · inference
  • Anthony Michael Sbrocco (Chief Financial Officer) no longer on Schedule A of Wealthspire Advisors (listed 2021-11-04, absent 2022-01-11)
    Jan 11, 2022 · Control person left · inference
  • Diane Susan Duvall-Dickson (Chief Operating Officer) no longer on Schedule A of Wealthspire Advisors (listed 2020-11-24, absent 2021-03-25)
    Mar 25, 2021 · Control person left · inference
  • Anthony Michael Sbrocco (Chief Financial Officer) appeared on Schedule A of Wealthspire Advisors
    Nov 24, 2020 · Control person joined · fact
  • 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)
    Nov 24, 2020 · Control person left · inference
  • Alan Richard Stone (Chairman) no longer on Schedule A of Wealthspire Advisors (listed 2018-06-06, absent 2019-03-29)
    Mar 29, 2019 · Control person left · inference
  • Wealthspire Advisors reported RAUM $2.0B, up 26% from $1.6B (2018-06-06 to 2019-03-29)
    Mar 29, 2019 · RAUM change · derived
  • Wealthspire Advisors reported RAUM $1.6B, up 51% from $1.1B (2017-09-28 to 2018-01-31)
    Jan 31, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026