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.
SEC-registered adviser
Wealthspire Retirement Advisory
Legal name Wealthspire Retirement, LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 20, 2012 · 68 filings
SEC status approved since Jan 31, 2006
RAUM
$39B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
6.4%
$2.5B individuals and HNW
Advisors
145
registered through the firm on IAPD
RAUM per advisor
$266M
derived; firm RAUM over IAPD count
Employees
244
139 advisory (5.B.1)
Offices
50
beyond the principal office
Private funds
0
reported on Schedule D
History
68 filings and snapshots on the tape
RAUM$39B as of Mar 31, 2026
Mar 20, 2012$13B then
HNW client RAUM$1.7B as of Mar 31, 2026
Feb 20, 2018$34.3M then
State-registered IARs (5.B.3)139 as of Mar 31, 2026
Mar 4, 201337 then
Employees (5.A)244 as of Mar 31, 2026
Mar 4, 201356 then
Private funds: no history
RAUM -67% over the last fiscal year-20% a year over threeIARs 149 to 139offices 44 to 50
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $266MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $5.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 94%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 2.8derived51 offices incl. principal (1.F.5)
- RAUM growth, one year
- -67%derivedbetween the last two annual amendments
- Advisor growth, one year
- -6.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +52%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Financial planning clients
- 6,000reportedItem 5.H
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$36B94%
- High-net-worth individuals$1.7B4.4%
- Individuals$779M2.0%
- Individual clients
- 5,369reported
- HNW clients
- 768reported
- Pension plan clients
- 1,395reported
- Charitable clients
- n/areported
- Accounts
- 7,532reported
- Financial planning clients
- 6,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.06 fund_share=0.0 institutional_share=0.94 related_bd=false related_bank=false bd_reps=17.0derived
Advisors registered through the firm
143 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Ternan Mcguire | Aliso Viejo, Ca | Jun 28, 2004 | 27 y | 0 |
| Todd Reid Hoppock | Aliso Viejo, Ca | Feb 3, 2006 | 33 y | 0 |
| Susann Kathleen Haas | Aliso Viejo, Ca | Mar 15, 2006 | 24 y | 0 |
| Joel Barry Shapiro | Aliso Viejo, Ca | Jun 27, 2006 | 20 y | 0 |
| Orlando Jose Torres | Aliso Viejo, Ca | Nov 30, 2010 | 19 y | 0 |
| John Lawrence LivingstonCertified Financial Planner | Dallas, Tx | Jan 10, 2012 | 33 y | 0 |
| Jill Barry Shea | Aliso Viejo, Ca | May 29, 2013 | 33 y | 4 |
| Solomon StewartChartered Financial Analyst | Aliso Viejo, Ca | Jun 5, 2014 | 15 y | 0 |
| Daniel Joseph KallusChartered Financial Analyst | Houston, Tx | Jun 11, 2014 | 26 y | 1 |
| Allison Flink | Aliso Viejo, Ca | Aug 20, 2014 | 23 y | 1 |
| Vincent Glen LearnedCertified Financial Planner, Chartered Financial Analyst | Aliso Viejo, Ca | Jan 21, 2015 | 16 y | 4 |
| David Paul Heroux | Aliso Viejo, Ca | Jun 4, 2015 | 22 y | 4 |
| Lily Ann Matias | Aliso Viejo, Ca | Jul 13, 2015 | 31 y | 0 |
| Elizabeth Ann Mikkelson | Santa Barbara, Ca | Aug 4, 2015 | 14 y | 0 |
| Thomas Brian Bastin | Aliso Viejo, Ca | Mar 24, 2016 | 26 y | 2 |
| Peter J SchmitzCertified Financial Planner, Chartered Financial Analyst | Aliso Viejo, Ca | May 16, 2016 | 20 y | 4 |
| Bradley Lewis Larsen | Stuart, Fl | Jul 20, 2016 | 31 y | 3 |
| Richard Robert KruseChartered Financial Consultant | Aliso Viejo, Ca | Aug 1, 2016 | 42 y | 0 |
| Steven L Festler | Plymouth, Mn | Aug 2, 2016 | 12 y | 2 |
| Anthony Allen Cardinal | Aliso Viejo, Ca | Dec 15, 2016 | 37 y | 0 |
| Barbara Anne HealyCertified Financial Planner | Scottsdale, Az | Jan 4, 2017 | 45 y | 4 |
| Marcel James Dupre | New Orleans, La | Apr 21, 2017 | 29 y | 4 |
| Steven L Prom | Plymouth, Mn | Jan 11, 2018 | 25 y | 1 |
| James V Adam | Plymouth, Mn | Jan 11, 2018 | 26 y | 0 |
| Jamie Ann Hayes | Maitland, Fl | Jun 20, 2018 | 21 y | 2 |
| Peter James Rowley | Aliso Viejo, Ca | Jul 24, 2018 | 13 y | 1 |
| John David RoegnerCertified Financial Planner | Chicago, Il | Aug 13, 2018 | 22 y | 4 |
| Morgan Davis Quigley | Aliso Viejo, Ca | Feb 25, 2019 | 10 y | 0 |
| John Kenneth RichardsChartered Financial Analyst | Aliso Viejo, Ca | Jun 17, 2019 | 18 y | 2 |
| Jason Michael Schmudlach | Appleton, Wi | Jun 24, 2019 | 14 y | 1 |
| Clifton William Horner | Aliso Viejo, Ca | Jul 8, 2019 | 19 y | 1 |
| Thomas August HeuerCertified Financial Planner, Chartered Financial Analyst | Aliso Viejo, Ca | Jul 29, 2019 | 11 y | 0 |
| Corwin Matthew Dickey | Aliso Viejo, Ca | Nov 21, 2019 | 20 y | 3 |
| Joseph David DelaneyChartered Financial Analyst | Plymouth, Mn | Jan 23, 2020 | 10 y | 0 |
| Ryan Richard HamiltonChartered Financial Analyst | Aliso Viejo, Ca | Mar 10, 2020 | 10 y | 0 |
| Carole Browne | Aliso Viejo, Ca | Aug 27, 2020 | 11 y | 0 |
| Charles Tyler Brocato | Aliso Viejo, Ca | Jan 6, 2021 | 16 y | 4 |
| Durene Lenis Wilhelmi | Aliso Viejo, Ca | Jun 17, 2021 | 13 y | 0 |
| Daniel Robert Bystrom | Plainview, Ny | Sep 6, 2021 | 11 y | 0 |
| Katelyn Whalen | Charlotte, Nc | Oct 19, 2021 | 12 y | 4 |
Advisor movement
3 left, 7 joined in 12 months
net +4 in 12 months0 left in 90 days3 joined in 90 daysdeparture rate 2.1% of current headcount15 left over 36 months
Left, latest
- Megan Elizabeth Nielsen to Integrated Wealth Concepts LLCMay 8, 2026 · Other
- Kimberly Lynn Oros to Northwestern Mutual Investment Services,LLCMar 18, 2026 · Other
- Richard Lewis Holland to Monterey WealthMar 4, 2026 · Other
- Patrick Ilcin to Global Retirement Partners LLCJul 7, 2025 · Other
- Debora Marie Stranman to Prime Capital FinancialApr 23, 2025 · Other
- Holly Knight to Alera Investment Advisors, LLCDec 20, 2024 · Other
- David Justin Ozga to Stancorp Investment Advisers, Inc.Sep 11, 2024 · Other
- Timothy Mahoney Archard to The Pinnacle Financial GroupAug 9, 2024 · Other
- Matthew B Stewart to Mma Securities LLCAug 5, 2024 · Other
- Stuart Henry Scholten to Accelerate RetirementJun 4, 2024 · Other
- Amy Susan Hanophy to Innovest Portfolio Solutions LLCMay 17, 2024 · Other
- Ryan Bradley Williams to LPL Financial LLCMar 11, 2024 · Other
- Shane Michael Wolden to Park Avenue Securities LLCFeb 9, 2024 · Other
- Kevin Joseph Gray to LPL Financial LLCJan 19, 2024 · Other
- Colin Larsen to Pennington Partners & Co., LLCOct 5, 2023 · Other
Joined, latest
- John Raymond Nelson from Independent Financial PartnersAug 17, 2026 · Other
- Nikola Delic from Morgan StanleyAug 6, 2026 · Other
- Nathan Earl Freeman from Independent Financial PartnersJul 15, 2026 · Other
- Caroline A Macomber from Global Retirement Partners LLCMay 28, 2026 · Other
- Steven Joseph Whitman from Usi AdvisorsApr 16, 2026 · Other
- Clarence Leroy Haynes from Edelman Financial EnginesApr 2, 2026 · Other
- Peter Alexander Snow from Kestra Advisory Services, LLCJan 1, 2026 · Other
- Joshua Jacob Timmerman from Voya Retirement Advisors, LLCJul 9, 2025 · Other
- Michael John Coakley from Kestra Advisory Services, LLCJun 3, 2025 · Other
- Deshon Patrick Robinson from Pure Financial Advisors, LLCMay 29, 2025 · Other
- Jamie April Bond from CorientApr 8, 2025 · Other
- Natalie Ann Meziere from Kestra Advisory Services, LLCMar 18, 2025 · Other
- Tanner Vincent Felts from LPL Financial LLCJan 22, 2025 · Other
- Paula Ann Hendrickson from Reber/Russell CoJan 1, 2025 · Other
- Kimberly Lynn Oros from Empower Advisory Group, LLCDec 18, 2024 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 10 left for Accelerate RetirementJul 6, 2023 · Aliso Viejo, Ca
- 2 left for Fiduciary Benefits GroupMay 12, 2023 · Aliso Viejo, Ca
- 6 left for Nfp Advisor Services, LLCJul 18, 2016 · Aliso Viejo, Ca
- 3 left for Kestra Advisory Services, LLCOct 2, 2015 · Aliso Viejo, Ca
- 3 left for Nfp Advisor Services, LLCOct 2, 2015 · Aliso Viejo, Ca
- 10 joined from Divergent Wealth Advisors, LLCSep 30, 2024 · South Jordan, Ut · Firm absorbed
- 3 joined from Kestra Advisory Services, LLCMar 28, 2024 · Bethesda, Md
- 2 joined from Kestra Advisory Services, LLCMar 28, 2024 · Charlotte, Nc
- 2 joined from Kestra Advisory Services, LLCMar 28, 2024 · Austin, Tx
- 3 joined from Kestra Advisory Services, LLCMar 28, 2023 · Austin, Tx
- 3 joined from Kestra Advisory Services, LLCAug 15, 2022 · Bethesda, Md
- 3 joined from Afs Advisors, LLCMar 31, 2022 · Suwanee, Ga · Firm absorbed
- 6 joined from OnedigitalJan 6, 2022 · Overland Park, Ks
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Bonardi Jessica Espinoza · Managing Directorcontrolsince 03/2024 · owns less than 5%
- Louis Justin Goldstein · Senior Vice Presidentcontrolsince 03/2024 · owns less than 5%
- Alexander Kameron Jones · Senior Vice Presidentcontrolsince 05/2023 · owns less than 5%
- Vincent Geoffrey Keeling · Chief Investment Officercontrolsince 05/2023 · owns less than 5%
- Ei Chun Veronica Moo · Directorcontrolsince 07/2017 · owns less than 5%
- George Edward O'Malley · Directorcontrolsince 02/2015 · owns less than 5%
- Ronald Brett Schneider · Directorcontrolsince 01/2009 · owns less than 5%
- Barry Joel Shapiro · Presidentcontrolsince 05/2023 · owns less than 5%
- John Solomon Stewart · Senior Vice Presidentcontrolsince 05/2023 · owns less than 5%
- J Brian Yu · Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
- Rose Hannah Dowling · Assistant Vice Presidentsince 05/2023 · owns less than 5%
Entity owners
- Nfp Corp. · Shareholderdirect · owns 75% or more
- Aon, Plc · Ownerindirect · owns 75% or more of Randolph Finance Unlimited Company · public reporting company
- Nfp Intermediate Holdings B. Corp. · Ownerindirect · owns 75% or more of Nfp Corp.
- Randolph Acquisition Corp. · Ownerindirect · owns 75% or more of Nfp Intermediate Holdings B. Corp.
- Randolph Finance Unlimited Company · Ownerindirect · owns 75% or more of Randolph Acquisition Corp.
Related persons
Schedule D 7.A
- Accountants Proprietary Financial Servicenet, LLCinvestment advisernRAUM $464M
- Divergent Wealth Advisors, LLCinvestment adviseryRAUM $617M
- Fiduciary Firstinvestment advisernRAUM $2.5B
- Fiducient Advisors LLCinvestment advisernRAUM $98B
- Nfp Property & Casualty Services, Inc.real estaten
- Sst Benefits Consultinginvestment advisernRAUM $524M
- Wealthspire Advisorsinvestment advisernRAUM $34B
Advisers that list Wealthspire Retirement Advisory as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Aliso Viejo, Ca · principal | 145 | 14 | 0 | ||
| Bethesda, Md | 30 | 2 | 0 | ||
| South Jordan, Ut | 16 | 2 | 0 | ||
| Charlotte, Nc | 9 | 1 | 0 | ||
| Plymouth, Mn | 9 | 2 | 0 | ||
| Madison, Wi | 5 | 0 | 0 | ||
| Maitland, Fl | 4 | 0 | 0 | ||
| New York, Ny | 3 | 0 | 0 | ||
| Atlanta, Ga | 3 | 0 | 1 | ||
| Warrington, Pa | 3 | 0 | 0 | ||
| Midlothian, Va | 2 | 0 | 0 | ||
| Denver, Co | 2 | 0 | 0 | ||
| Scottsdale, Az | 2 | 0 | 0 | ||
| Norwell, Ma | 2 | 1 | 0 | ||
| Santa Barbara, Ca | 2 | 1 | 0 | ||
| Appleton, Wi | 1 | 0 | 1 | ||
| Cleveland, Oh | 1 | 0 | 0 | ||
| West Greenwich, Ri | 0 | 0 | 0 | ||
| Rockport, Tx | 0 | 0 | 0 | ||
| Greenwood Village, Co | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bethesda, MD21 employees
- Plymouth, MN9 employees
- Madison, WI5 employees
- Charlotte, NC5 employees
- Cleveland, OH4 employees
- Oklahoma City, OK4 employees
- Maitland, FL3 employees
- Atlanta, GA3 employees
- Warrington, PA3 employees
- Norwell, MA2 employees
- Santa Barbara, CA2 employees
- Denver, CO2 employees
- Richmond, VT2 employees
- , 1 employees
- Boston, MA1 employees
- Chicago, IL1 employees
- Minneapolis, MN1 employees
- New Orleans, LA1 employees
- Plainview, NY1 employees
- Troy, MI1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Mar 31, 2026individual and HNW clients (Item 5.D) moved from 4,042.0 to 6,137.0 (+52.0%) between the annual amendments of 2025-04-16 and 2026-03-31; the peer median change was +14.0% (16 comparable advisers, 93.0th percentile of changes)peers: institutional managers, $20B and over (16) · 93% percentile
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 25.0% to 100.0% between the annual amendments of 2025-04-16 and 2026-03-31peers: institutional managers, $20B and over (90)
- RAUM down 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $118,031,461,765 to $38,609,440,509 (-67.0%) between the annual amendments of 2025-04-16 and 2026-03-31; the peer median change was +11.0% (83 comparable advisers, 1.0th percentile of changes)peers: institutional managers, $20B and over (83) · 1.2% percentile
What changed
consecutive filings, newest first
- Accounts · 9,394 to 7,532Jan 20, 2026 to Mar 31, 2026
- Advisory employees · 149 to 139Jan 20, 2026 to Mar 31, 2026
- BD registered reps · 16 to 17Jan 20, 2026 to Mar 31, 2026
- HNW clients · 633 to 768Jan 20, 2026 to Mar 31, 2026
- Individual clients · 3,409 to 5,369Jan 20, 2026 to Mar 31, 2026
- Pension plan clients · 2,543 to 1,395Jan 20, 2026 to Mar 31, 2026
- Employees · 240 to 244Jan 20, 2026 to Mar 31, 2026
- State-registered IARs · 149 to 139Jan 20, 2026 to Mar 31, 2026
- Other offices · 44 to 50Jan 20, 2026 to Mar 31, 2026
- Discretionary RAUM · $29B to $39BJan 20, 2026 to Mar 31, 2026
- HNW RAUM · $1.5B to $1.7BJan 20, 2026 to Mar 31, 2026
- Individual RAUM · $543M to $779MJan 20, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $89B to $0Jan 20, 2026 to Mar 31, 2026
- Pension RAUM · $116B to $36BJan 20, 2026 to Mar 31, 2026
- RAUM · $118B to $39BJan 20, 2026 to Mar 31, 2026
- Succession · true to falseNov 21, 2025 to Dec 23, 2025
- Related bank · true to falseApr 16, 2025 to Nov 21, 2025
- Business name · NFP RETIREMENT INC. to WEALTHSPIRE RETIREMENT ADVISORYApr 16, 2025 to Nov 21, 2025
- Legal name · NFP RETIREMENT INC. to WEALTHSPIRE RETIREMENT, LLCApr 16, 2025 to Nov 21, 2025
- Organization form · Corporation to Limited Liability CompanyApr 16, 2025 to Nov 21, 2025
- Related broker-dealer · true to falseApr 16, 2025 to Nov 21, 2025
- Succession · false to trueApr 16, 2025 to Nov 21, 2025
- Accounts · 5,514 to 9,394Jun 5, 2024 to Apr 16, 2025
- Advisory employees · 131 to 149Jun 5, 2024 to Apr 16, 2025
- BD registered reps · 27 to 16Jun 5, 2024 to Apr 16, 2025
- HNW clients · 396 to 633Jun 5, 2024 to Apr 16, 2025
- Individual clients · 1,723 to 3,409Jun 5, 2024 to Apr 16, 2025
- Pension plan clients · 1,854 to 2,543Jun 5, 2024 to Apr 16, 2025
- Employees · 219 to 240Jun 5, 2024 to Apr 16, 2025
- Financial planning clients · More than 500 to More than 500Jun 5, 2024 to Apr 16, 2025
- State-registered IARs · 131 to 149Jun 5, 2024 to Apr 16, 2025
- Other offices · 26 to 44Jun 5, 2024 to Apr 16, 2025
- Discretionary RAUM · $20B to $29BJun 5, 2024 to Apr 16, 2025
- HNW RAUM · $858M to $1.5BJun 5, 2024 to Apr 16, 2025
- Individual RAUM · $301M to $543MJun 5, 2024 to Apr 16, 2025
- Non-discretionary RAUM · $77B to $89BJun 5, 2024 to Apr 16, 2025
- Pension RAUM · $95B to $116BJun 5, 2024 to Apr 16, 2025
- RAUM · $96B to $118BJun 5, 2024 to Apr 16, 2025
- Related bank · false to trueMay 2, 2024 to May 28, 2024
- Accounts · 5,162 to 5,514Nov 29, 2023 to Mar 27, 2024
Signals
60 dated events
- Megan Elizabeth Nielsen left Wealthspire Retirement Advisory for Integrated Wealth Concepts Llc (registered 2026-04-29)May 8, 2026 · Advisor changed firm · fact
- Wealthspire Retirement Advisory reported 50 offices beyond its principal office, up from 44 (2026-01-20 to 2026-03-31)Mar 31, 2026 · Office count change · derived
- Wealthspire Retirement Advisory reported RAUM $38.6B, down 67% from $118.0B (2026-01-20 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Kimberly Lynn Oros left Wealthspire Retirement Advisory for Northwestern Mutual Investment Services,Llc (registered 2026-05-29)Mar 18, 2026 · Advisor changed firm · fact
- Richard Lewis Holland left Wealthspire Retirement Advisory for Monterey Wealth (registered 2026-05-01)Mar 4, 2026 · Advisor changed firm · fact
- Wealthspire Retirement Advisory reported succeeding to the business of Wealthspire Retirement Advisory (Form ADV Item 4)Nov 21, 2025 · Succession (Item 4) · fact
- Patrick Ilcin left Wealthspire Retirement Advisory for Global Retirement Partners Llc (registered 2025-07-14)Jul 7, 2025 · Advisor changed firm · fact
- Debora Marie Stranman left Wealthspire Retirement Advisory for Prime Capital Financial (registered 2025-04-25)Apr 23, 2025 · Advisor changed firm · fact
- Wealthspire Retirement Advisory reported 44 offices beyond its principal office, up from 26 (2024-06-05 to 2025-04-16)Apr 16, 2025 · Office count change · derived
- Holly Knight left Wealthspire Retirement Advisory for Alera Investment Advisors, Llc (registered 2025-03-18)Dec 20, 2024 · Advisor changed firm · fact
- Divergent Wealth Advisors, LLC's advisors moved to Wealthspire Retirement Advisory (South Jordan, UT): 10 of 11 registered, on the same daySep 30, 2024 · Firm absorbed (people side) · derived
- David Justin Ozga left Wealthspire Retirement Advisory for Stancorp Investment Advisers, Inc. (registered 2024-09-19)Sep 11, 2024 · Advisor changed firm · fact
- Timothy Mahoney Archard left Wealthspire Retirement Advisory for The Pinnacle Financial Group (registered 2024-12-27)Aug 9, 2024 · Advisor changed firm · fact
- Matthew B Stewart left Wealthspire Retirement Advisory for Mma Securities Llc (registered 2024-08-01)Aug 5, 2024 · Advisor changed firm · fact
- Stuart Henry Scholten left Wealthspire Retirement Advisory for Accelerate Retirement (registered 2024-06-04)Jun 4, 2024 · Advisor changed firm · fact
- Amy Susan Hanophy left Wealthspire Retirement Advisory for Innovest Portfolio Solutions Llc (registered 2026-02-22)May 17, 2024 · Advisor changed firm · fact
- 2 advisors left Kestra Advisory Services, LLC (Austin, TX) for Wealthspire Retirement Advisory on the same dayMar 28, 2024 · Team lift-out · derived
- 2 advisors left Kestra Advisory Services, LLC (Charlotte, NC) for Wealthspire Retirement Advisory on the same dayMar 28, 2024 · Team lift-out · derived
- 3 advisors left Kestra Advisory Services, LLC (Bethesda, MD) for Wealthspire Retirement Advisory on the same dayMar 28, 2024 · Team lift-out · derived
- Wealthspire Retirement Advisory reported RAUM $96.5B, up 29% from $75.0B (2023-11-29 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Bonardi Jessica Espinoza (Managing Director) appeared on Schedule A of Wealthspire Retirement AdvisoryMar 27, 2024 · Control person joined · fact
- Justin Goldstein (Senior Vice President) appeared on Schedule A of Wealthspire Retirement AdvisoryMar 27, 2024 · Control person joined · fact
- Ryan Bradley Williams left Wealthspire Retirement Advisory for Lpl Financial Llc (registered 2024-03-11)Mar 11, 2024 · Advisor changed firm · fact
- Shane Michael Wolden left Wealthspire Retirement Advisory for Park Avenue Securities Llc (registered 2024-04-16)Feb 9, 2024 · Advisor changed firm · fact
- Kevin Joseph Gray left Wealthspire Retirement Advisory for Lpl Financial Llc (registered 2025-03-11)Jan 19, 2024 · Advisor changed firm · fact
- Frederick James Pieracci no longer registered at Wealthspire Retirement Advisory; no later IA registration on IAPDOct 20, 2023 · Advisor departure · fact
- Colin Larsen left Wealthspire Retirement Advisory for Pennington Partners & Co., Llc (registered 2024-08-05)Oct 5, 2023 · Advisor changed firm · fact
- Sean Snow left Wealthspire Retirement Advisory for Teton Wealth Group Llc (registered 2024-04-08)Sep 5, 2023 · Advisor changed firm · fact
- Michael T Nesheim left Wealthspire Retirement Advisory for G.W. Sherwold Associates, Inc. (registered 2026-01-22)Sep 5, 2023 · Advisor changed firm · fact
- Frederick James Pieracci left Wealthspire Retirement Advisory for J K R & Company, Inc. (registered 2023-09-01)Sep 5, 2023 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/wealthspire-retirementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- wealthspire.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 949.460.9898reportedpublic record, Form ADV, Mar 31, 2026
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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $266Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026