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

Wealthstone Advisors

Former SEC-registered adviserColumbus, OhioCRD 110725SEC 801-20781IAPD
Legal name Wealthstone Family Office LLC
Latest filing Feb 12, 2021
First filing on the tape Mar 27, 2012 · 21 filings
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.3B as of Feb 12, 2021
Mar 27, 2012$453M then
HNW client RAUM$1.0B as of Feb 12, 2021
Mar 26, 2018$527M then
State-registered IARs (5.B.3)10 as of Feb 12, 2021
Mar 27, 20120 then
Employees (5.A)19 as of Feb 12, 2021
Mar 26, 201317 then
Private funds: no history
RAUM +46% over the last fiscal year+26% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Feb 12, 2021; every figure names its basis
RAUM per advisor
$129MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
30derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$8.2MderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
5.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+46%derivedbetween the last two annual amendments
Advisor growth, one year
+11%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$303M, 98 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.0B81%
  • Pension and profit-sharing plans$99.0M7.7%
  • Corporations and businesses$87.4M6.8%
  • Individuals$61.7M4.8%
  • Charitable organizations$1.5M0.1%
Individual clients
178reported
HNW clients
126reported
Pension plan clients
1reported
Charitable clients
1reported
Accounts
1,037reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$303M for 98 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
Left, latest
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
  • Gary Norman Cook · President, Ceocontrol
    since 08/2018 · owns 10% to 25%
  • David Glenn Southwick · Chief Compliance Officercontrol
    since 01/2016 · owns less than 5%
  • Richard Brian Stertzer · Director, Investmentscontrol
    since 12/2008 · owns 5% to 10%
  • Howard James Wyland · Chairmancontrol
    since 09/1986 · owns less than 5%
  • P Jack Zhang · Chief Investment Officercontrol
    since 01/2021 · owns less than 5%
  • Howard James Wyland · Presidentcontrol
    since 01/2019 · owns 75% or more of Wealthstone Holdings, Inc.
Entity owners
  • Wealthstone Holdings, Inc. · Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 911 to 1,037
    Jun 15, 2020 to Feb 12, 2021
  • Advisory employees · 9 to 11
    Jun 15, 2020 to Feb 12, 2021
  • HNW clients · 114 to 126
    Jun 15, 2020 to Feb 12, 2021
  • Individual clients · 164 to 178
    Jun 15, 2020 to Feb 12, 2021
  • Assets in custody · $323M to $303M
    Jun 15, 2020 to Feb 12, 2021
  • Employees · 15 to 19
    Jun 15, 2020 to Feb 12, 2021
  • State-registered IARs · 9 to 10
    Jun 15, 2020 to Feb 12, 2021
  • Discretionary RAUM · $881M to $1.3B
    Jun 15, 2020 to Feb 12, 2021
  • HNW RAUM · $658M to $1.0B
    Jun 15, 2020 to Feb 12, 2021
  • Individual RAUM · $56.8M to $61.7M
    Jun 15, 2020 to Feb 12, 2021
  • Pension RAUM · $101M to $99.0M
    Jun 15, 2020 to Feb 12, 2021
  • RAUM · $881M to $1.3B
    Jun 15, 2020 to Feb 12, 2021
  • Accounts · 822 to 911
    Oct 28, 2019 to Mar 6, 2020
  • Advisory employees · 11 to 9
    Oct 28, 2019 to Mar 6, 2020
  • BD registered reps · 1 to 2
    Oct 28, 2019 to Mar 6, 2020
  • Charity clients · unset to 1.0
    Oct 28, 2019 to Mar 6, 2020
  • Corporate clients · 27 to 24
    Oct 28, 2019 to Mar 6, 2020
  • HNW clients · 110 to 114
    Oct 28, 2019 to Mar 6, 2020
  • Individual clients · 163 to 164
    Oct 28, 2019 to Mar 6, 2020
  • Pension plan clients · unset to 1.0
    Oct 28, 2019 to Mar 6, 2020
  • Assets in custody · $344M to $323M
    Oct 28, 2019 to Mar 6, 2020
  • Employees · 24 to 15
    Oct 28, 2019 to Mar 6, 2020
  • State-registered IARs · 11 to 9
    Oct 28, 2019 to Mar 6, 2020
  • Discretionary RAUM · $755M to $881M
    Oct 28, 2019 to Mar 6, 2020
  • HNW RAUM · $549M to $658M
    Oct 28, 2019 to Mar 6, 2020
  • Individual RAUM · $55.7M to $56.8M
    Oct 28, 2019 to Mar 6, 2020
  • Pension RAUM · $95.7M to $101M
    Oct 28, 2019 to Mar 6, 2020
  • RAUM · $755M to $881M
    Oct 28, 2019 to Mar 6, 2020
  • Related insurance company · false to true
    Oct 28, 2019 to Mar 6, 2020
  • Business name · WEALTHSTONE FAMILY OFFICE LLC to WEALTHSTONE ADVISORS
    Aug 16, 2019 to Oct 28, 2019
  • Business name · WEALTHSTONE INC to WEALTHSTONE FAMILY OFFICE LLC
    Feb 25, 2019 to May 31, 2019
  • Legal name · WEALTHSTONE INC to WEALTHSTONE FAMILY OFFICE LLC
    Jan 31, 2019 to Feb 25, 2019
  • Succession · true to false
    Jan 31, 2019 to Feb 25, 2019
  • Accounts · 718 to 822
    Aug 24, 2018 to Jan 31, 2019
  • Advisory employees · 8 to 11
    Aug 24, 2018 to Jan 31, 2019
  • Corporate clients · 22 to 27
    Aug 24, 2018 to Jan 31, 2019
  • HNW clients · 105 to 110
    Aug 24, 2018 to Jan 31, 2019
  • Individual clients · 164 to 163
    Aug 24, 2018 to Jan 31, 2019
  • Assets in custody · $357M to $344M
    Aug 24, 2018 to Jan 31, 2019
  • Employees · 20 to 24
    Aug 24, 2018 to Jan 31, 2019
Signals
8 dated events
  • Elliott Peter Klingelhofer (Chief Investment Officer) no longer on Schedule A of Wealthstone Advisors (listed 2020-06-15, absent 2021-02-12)
    Feb 12, 2021 · Control person left · inference
  • P Jack Zhang (Chief Investment Officer) appeared on Schedule A of Wealthstone Advisors
    Feb 12, 2021 · Control person joined · fact
  • Wealthstone Advisors reported RAUM $1.3B, up 46% from $880.6M (2020-06-15 to 2021-02-12)
    Feb 12, 2021 · RAUM change · derived
  • Elliott Peter Klingelhofer (Chief Investment Officer) appeared on Schedule A of Wealthstone Advisors
    Apr 23, 2020 · Control person joined · fact
  • P Jack Zhang (Director Of Research & Risk Management) no longer on Schedule A of Wealthstone Advisors (listed 2019-10-28, absent 2020-03-06)
    Mar 6, 2020 · Control person left · inference
  • P Jack Zhang (Director Of Research & Risk Management) appeared on Schedule A of Wealthstone Advisors
    Jan 31, 2019 · Control person joined · fact
  • Wealthstone Inc reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Jan 31, 2019 · Succession (Item 4) · fact
  • Joseph Paul Breen (Treasurer And Secretary) no longer on Schedule A of Wealthstone Advisors (listed 2018-08-24, absent 2019-01-31)
    Jan 31, 2019 · Control person left · inference
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