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 adviserPotomac, MarylandCRD 168095SEC 801-78179IAPD
Legal name Wealthspire Advisors, L.P.
Latest filing Jun 30, 2020
First filing on the tape Jun 3, 2013 · 39 filings
RAUM
$4.6B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
87%
$4.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
76
54 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$4.6B as of Mar 30, 2020
Mar 28, 2014$1.9B then
HNW client RAUM$3.5B as of Mar 30, 2020
Mar 30, 2018$3.1B then
State-registered IARs (5.B.3)54 as of Mar 30, 2020
Mar 28, 201420 then
Employees (5.A)76 as of Mar 30, 2020
Mar 28, 201442 then
Private funds: no history
RAUM -21% over the last fiscal year+0.6% a year over threeIARs 62 to 54offices 10 to 9
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
RAUM per advisor
$85.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
36derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.3MderivedHNW RAUM over HNW clients
Average account
$1.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
8.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
5.4derived10 offices incl. principal (1.F.5)
RAUM growth, one year
-21%derivedbetween the last two annual amendments
Advisor growth, one year
-13%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.9%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
Custody
$1.7B, 968 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$3.5B77%
  • Individuals$461M10%
  • Charitable organizations$217M4.7%
  • Corporations and businesses$213M4.6%
  • Pension and profit-sharing plans$168M3.7%
Individual clients
1,146reported
HNW clients
816reported
Pension plan clients
146reported
Charitable clients
193reported
Accounts
2,366reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$1.7B for 968 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
    • J Michael Del Priore · Chief Compliance Officercontrol
      since 01/2020 · owns less than 5%
    • Anthony Michael Lamena · Chief Executive Officercontrol
      since 05/2019 · owns less than 5%
    • David Brian Powers · Chief Financial Officercontrol
      since 03/2006 · owns less than 5%
    • Matthew Eric Sontag · President & Chief Operations Officercontrol
      since 05/2019 · owns less than 5%
    • Vaughn Howard Sontag · Sr. Managing Directorcontrol
      since 05/2019 · owns less than 5%
    • Ronald Hoyt Stastney · Chief Legal Officercontrol
      since 11/2016 · owns less than 5%
    Entity owners
    • Sontag Advisory LLC · Owner
      direct · owns 75% or more
    • Sontag Br Gp, LLC · General Partner
      direct · owns less than 5%
    • Madison Dearborn Capital Partners Vi-A, L.P. · Owner
      indirect · owns 25% to 50% of Nfp Ultimate Holdings, LLC
    • Madison Dearborn Partners · General Partner
      indirect · owns F of Madison Dearborn Partners Vi-A&C, L.P.
    • Madison Dearborn Partners Vi-A&C, L.P. · General Partner
      indirect · owns F of Madison Dearborn Capital Partners Vi-A, L.P.
    • Nfp Corp. · Shareholder
      indirect · owns 75% or more of Sontag Advisory LLC
    • Nfp Holdings, LLC · Owner
      indirect · owns 75% or more of Nfp Parent Co, LLC
    • Nfp Intermediate Holdings A. Corp. · Owner
      indirect · owns 75% or more of Nfp Intermediate Holdings B. Corp.
    • Nfp Intermediate Holdings B. Corp. · Owner
      indirect · owns 75% or more of Nfp Corp.
    • Nfp Parent Co, LLC · Owner
      indirect · owns 75% or more of Nfp Intermediate Holdings A. Corp.
    • Nfp Ultimate Holdings, LLC · Owner
      indirect · owns 75% or more of Nfp Holdings, LLC
    Related persons
    Schedule D 7.A
    Post-acquisition retention
    advisors of absorbed firms still registered here after the move
    Firms absorbed
    4 since 2015, 0 in 24 monthsderived
    Advisors acquired
    23derived
    Still registered after 90 days
    96% of 23derived
    After 180 days
    96% of 23derived
    After 365 days
    91% of 23derived
    After 730 days
    91% of 23derived
    Team lift-outs after
    0derivedteams that left this firm within two years of an absorption

    Lower bound: a person who left the industry is on neither side of the tape, and a re-registration to an affiliated CRD of the same group counts as a departure.

    Offices
    Schedule D 1.F, the 25 largest
    • Reston, VA7 employees
    • Delafield, WI6 employees
    • Madison, WI5 employees
    • Milwaukee, WI5 employees
    • New York, NY3 employees
    • Philadelphia, PA3 employees
    • Appleton, WI2 employees
    • Boca Raton, FL1 employees
    • Janesville, WI1 employees
    What changed
    consecutive filings, newest first
    • Other offices · 8 to 9
      Mar 30, 2020 to Jun 30, 2020
    • Related broker-dealer · true to false
      Mar 30, 2020 to Jun 30, 2020
    • Accounts · 2,332 to 2,366
      Jan 6, 2020 to Mar 30, 2020
    • Advisory employees · 64 to 54
      Jan 6, 2020 to Mar 30, 2020
    • BD registered reps · 31 to 21
      Jan 6, 2020 to Mar 30, 2020
    • Charity clients · 178 to 193
      Jan 6, 2020 to Mar 30, 2020
    • Corporate clients · 60 to 65
      Jan 6, 2020 to Mar 30, 2020
    • HNW clients · 723 to 816
      Jan 6, 2020 to Mar 30, 2020
    • Individual clients · 1,222 to 1,146
      Jan 6, 2020 to Mar 30, 2020
    • Pension plan clients · 149 to 146
      Jan 6, 2020 to Mar 30, 2020
    • Assets in custody · $2.2B to $1.7B
      Jan 6, 2020 to Mar 30, 2020
    • Employees · 95 to 76
      Jan 6, 2020 to Mar 30, 2020
    • State-registered IARs · 62 to 54
      Jan 6, 2020 to Mar 30, 2020
    • Other offices · 9 to 8
      Jan 6, 2020 to Mar 30, 2020
    • Discretionary RAUM · $5.6B to $4.3B
      Jan 6, 2020 to Mar 30, 2020
    • HNW RAUM · $2.9B to $3.5B
      Jan 6, 2020 to Mar 30, 2020
    • Individual RAUM · $423M to $461M
      Jan 6, 2020 to Mar 30, 2020
    • Non-discretionary RAUM · $252M to $250M
      Jan 6, 2020 to Mar 30, 2020
    • Pension RAUM · $2.1B to $168M
      Jan 6, 2020 to Mar 30, 2020
    • RAUM · $5.8B to $4.6B
      Jan 6, 2020 to Mar 30, 2020
    • Business name · WEALTHSPIRE ADVISORS, L.P. to WEALTHSPIRE ADVISORS
      Oct 30, 2019 to Dec 10, 2019
    • HQ city · ROCKVILLE to POTOMAC
      Oct 30, 2019 to Dec 10, 2019
    • Other offices · 10 to 9
      Oct 30, 2019 to Dec 10, 2019
    • Business name · BRONFMAN ROTHSCHILD to WEALTHSPIRE ADVISORS, L.P.
      Oct 30, 2019 to Oct 30, 2019
    • Legal name · BRONFMAN E.L. ROTHSCHILD, L.P. to WEALTHSPIRE ADVISORS, L.P.
      Oct 30, 2019 to Oct 30, 2019
    • Employees · 94 to 95
      Mar 29, 2019 to Jun 3, 2019
    • Related adviser · false to true
      Mar 29, 2019 to Jun 3, 2019
    • Accounts · 2,250 to 2,332
      Aug 30, 2018 to Mar 29, 2019
    • Advisory employees · 66 to 64
      Aug 30, 2018 to Mar 29, 2019
    • BD registered reps · 28 to 31
      Aug 30, 2018 to Mar 29, 2019
    • Charity clients · 118 to 178
      Aug 30, 2018 to Mar 29, 2019
    • Corporate clients · 8 to 60
      Aug 30, 2018 to Mar 29, 2019
    • HNW clients · 744 to 723
      Aug 30, 2018 to Mar 29, 2019
    • Individual clients · 1,264 to 1,222
      Aug 30, 2018 to Mar 29, 2019
    • Pension plan clients · 116 to 149
      Aug 30, 2018 to Mar 29, 2019
    • Assets in custody · $2.5B to $2.2B
      Aug 30, 2018 to Mar 29, 2019
    • Employees · 91 to 94
      Aug 30, 2018 to Mar 29, 2019
    • State-registered IARs · 64 to 62
      Aug 30, 2018 to Mar 29, 2019
    • Discretionary RAUM · $5.8B to $5.6B
      Aug 30, 2018 to Mar 29, 2019
    • HNW RAUM · $3.1B to $2.9B
      Aug 30, 2018 to Mar 29, 2019
    Signals
    13 dated events
    • J Michael Del Priore (Chief Compliance Officer) appeared on Schedule A of Wealthspire Advisors
      Jan 6, 2020 · Control person joined · fact
    • Eli Goldstein (Director) no longer on Schedule A of Wealthspire Advisors (listed 2019-03-29, absent 2019-06-03)
      Jun 3, 2019 · Control person left · inference
    • Matthew Bronfman (Director) no longer on Schedule A of Wealthspire Advisors (listed 2019-03-29, absent 2019-06-03)
      Jun 3, 2019 · Control person left · inference
    • Almog Geva (Manager) no longer on Schedule A of Wealthspire Advisors (listed 2019-03-29, absent 2019-06-03)
      Jun 3, 2019 · Control person left · inference
    • Yaacov Shulem Fisher (Member) no longer on Schedule A of Wealthspire Advisors (listed 2019-03-29, absent 2019-06-03)
      Jun 3, 2019 · Control person left · inference
    • Miles Edgar Jr. Bronfman (Trustee) no longer on Schedule A of Wealthspire Advisors (listed 2019-03-29, absent 2019-06-03)
      Jun 3, 2019 · Control person left · inference
    • Jerry Neal Simon (Director) no longer on Schedule A of Wealthspire Advisors (listed 2019-03-29, absent 2019-06-03)
      Jun 3, 2019 · Control person left · inference
    • Brian William Schwartz (Director) no longer on Schedule A of Wealthspire Advisors (listed 2019-03-29, absent 2019-06-03)
      Jun 3, 2019 · Control person left · inference
    • Lynn Forester De Rothschild (Director) no longer on Schedule A of Wealthspire Advisors (listed 2019-03-29, absent 2019-06-03)
      Jun 3, 2019 · Control person left · inference
    • Matthew Eric Sontag (Chief Operations Officer) appeared on Schedule A of Wealthspire Advisors
      Jun 3, 2019 · Control person joined · fact
    • Vaughn Howard Sontag (Sr. Managing Director) appeared on Schedule A of Wealthspire Advisors
      Jun 3, 2019 · Control person joined · fact
    • Baker Tilly Investment Advisors, L.P. filed its initial SEC registration (Form ADV)
      Jun 3, 2013 · First SEC registration · fact
    • Baker Tilly Investment Advisors, L.P. reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jun 3, 2013 · Succession (Item 4) · fact
    Across DFX
    shared identifiers only, never a name match
    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