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
Asteria Wealth LLC
Latest filing Jun 30, 2023
First filing on the tape Sep 8, 2016 · 25 filings
RAUM
$98.4M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$98.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$98.4M as of Mar 25, 2023
Mar 31, 2017$89.1M then
HNW client RAUM$34.1M as of Mar 25, 2023
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 25, 2023
Mar 31, 20173 then
Employees (5.A)6 as of Mar 25, 2023
Mar 31, 20173 then
Private funds: no history
RAUM -23% over the last fiscal year-4.3% a year over threeIARs 4 to 0
Practice profile
derived from the filing of Jun 30, 2023; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $189,519derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $98.4MreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$64.1M65%
- High-net-worth individuals$34.1M35%
- Pension and profit-sharing plans$120,5710.1%
- Individual clients
- 351reported
- HNW clients
- 18reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 519reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $14.5M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- Adam Ryan Smith to Merit Financial AdvisorsDec 19, 2022 · RIA to RIA
- William Paul Boscow to Pks Advisory Services, LLCJun 8, 2022 · RIA to RIA
- John Ray Williams to Aronson Asset Management, Inc.Feb 27, 2020 · Other
- Michael John Lee to Long Street Capital ManagementMar 29, 2018 · Other
Joined, latest
- William Paul Boscow from Cl Wealth Management LLCApr 11, 2022 · RIA to RIA
- Adam Ryan Smith from Kalos ManagementOct 17, 2019 · Other
- Michael John Lee from Wildermuth Advisory, LLCFeb 15, 2018 · Other
- John Ray Williams from Kalos ManagementOct 12, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Mario Suzanne Hammer · Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
- Lloyd Daniel Wildermuth · Chief Investment Officer And Presidentcontrolsince 08/2016 · owns less than 5%
- Lloyd Daniel Wildermuth · Trusteecontrolsince 08/2016 · owns F of The Wildermuth Family Gift Trust II
Entity owners
- The Wildermuth Family Gift Trust II · Trust / Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Kalos Managementinvestment advisernRAUM $129M
- Wildermuth Advisory, LLCinvestment advisernRAUM $121M
Advisers that list Asteria Wealth LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · PONTE VEDRA BEACH to unsetApr 20, 2023 to Jun 30, 2023
- HQ state · FL to unsetApr 20, 2023 to Jun 30, 2023
- Accounts · 572 to 519Nov 11, 2022 to Mar 25, 2023
- Advisory employees · 3 to 2Nov 11, 2022 to Mar 25, 2023
- HNW clients · 19 to 18Nov 11, 2022 to Mar 25, 2023
- Individual clients · 401 to 351Nov 11, 2022 to Mar 25, 2023
- Pension plan clients · 0 to 1Nov 11, 2022 to Mar 25, 2023
- Employees · 4 to 6Nov 11, 2022 to Mar 25, 2023
- Insurance-licensed employees · 2 to 0Nov 11, 2022 to Mar 25, 2023
- State-registered IARs · 2 to 0Nov 11, 2022 to Mar 25, 2023
- Discretionary RAUM · $118M to $97.8MNov 11, 2022 to Mar 25, 2023
- HNW RAUM · $51.7M to $34.1MNov 11, 2022 to Mar 25, 2023
- Individual RAUM · $76.4M to $64.1MNov 11, 2022 to Mar 25, 2023
- Non-discretionary RAUM · $9.7M to $546,964Nov 11, 2022 to Mar 25, 2023
- Pension RAUM · $0 to $120,571Nov 11, 2022 to Mar 25, 2023
- RAUM · $128M to $98.4MNov 11, 2022 to Mar 25, 2023
- Related broker-dealer · true to falseNov 11, 2022 to Mar 25, 2023
- Wrap assets (sponsor) · $9.8M to $14.5MNov 11, 2022 to Mar 25, 2023
- Advisory employees · 2 to 3Jul 25, 2022 to Nov 11, 2022
- BD registered reps · 4 to 0Jul 25, 2022 to Nov 11, 2022
- Employees · 10 to 4Jul 25, 2022 to Nov 11, 2022
- Insurance-licensed employees · 4 to 2Jul 25, 2022 to Nov 11, 2022
- HQ city · ALPHARETTA to PONTE VEDRA BEACHJul 25, 2022 to Nov 11, 2022
- HQ state · GA to FLJul 25, 2022 to Nov 11, 2022
- State-registered IARs · 4 to 2Jul 25, 2022 to Nov 11, 2022
- Accounts · 1 to 572Mar 9, 2022 to Mar 24, 2022
- Advisory employees · 4 to 2Mar 9, 2022 to Mar 24, 2022
- BD registered reps · 6 to 4Mar 9, 2022 to Mar 24, 2022
- HNW clients · 0 to 19Mar 9, 2022 to Mar 24, 2022
- Individual clients · 0 to 401Mar 9, 2022 to Mar 24, 2022
- Employees · 8 to 10Mar 9, 2022 to Mar 24, 2022
- Discretionary RAUM · $89.8M to $118MMar 9, 2022 to Mar 24, 2022
- HNW RAUM · $0 to $51.7MMar 9, 2022 to Mar 24, 2022
- Individual RAUM · $0 to $76.4MMar 9, 2022 to Mar 24, 2022
- Non-discretionary RAUM · $0 to $9.7MMar 9, 2022 to Mar 24, 2022
- RAUM · $89.8M to $128MMar 9, 2022 to Mar 24, 2022
- Wrap assets (sponsor) · $0 to $9.8MMar 9, 2022 to Mar 24, 2022
- Business name · WILDERMUTH ASSET MANAGEMENT, LLC to ASTERIA WEALTH LLCSep 8, 2021 to Sep 8, 2021
- Legal name · WILDERMUTH ASSET MANAGEMENT, LLC to ASTERIA WEALTH LLCSep 8, 2021 to Sep 8, 2021
- Discretionary RAUM · $112M to $89.8MJun 24, 2020 to Mar 29, 2021
Signals
12 dated events
- Adam Ryan Smith left Asteria Wealth Llc for Merit Financial Advisors (registered 2022-12-21)Dec 19, 2022 · Advisor changed firm · fact
- Jean Carol Wildermuth (Cfo) no longer on Schedule A of Asteria Wealth Llc (listed 2022-11-11, absent 2022-11-11)Nov 11, 2022 · Control person left · inference
- A Chrissy Lee (Chief Operating Officer) no longer on Schedule A of Asteria Wealth Llc (listed 2022-07-25, absent 2022-11-11)Nov 11, 2022 · Control person left · inference
- Mario Suzanne Hammer (Chief Compliance Officer) appeared on Schedule A of Asteria Wealth LlcJul 25, 2022 · Control person joined · fact
- William Paul Boscow left Asteria Wealth Llc for Pks Advisory Services, Llc (registered 2024-04-26)Jun 8, 2022 · Advisor changed firm · fact
- Joseph John Dillon (Chief Compliance Officer) no longer on Schedule A of Asteria Wealth Llc (listed 2021-09-08, absent 2022-03-09)Mar 9, 2022 · Control person left · inference
- Jean Carol Wildermuth (Cfo) appeared on Schedule A of Asteria Wealth LlcMar 29, 2021 · Control person joined · fact
- Jean Carol Wildermuth (Trustee) no longer on Schedule A of Asteria Wealth Llc (listed 2020-03-27, absent 2020-04-27)Apr 27, 2020 · Control person left · inference
- A Chrissy Lee (Chief Operating Officer) appeared on Schedule A of Asteria Wealth LlcMar 27, 2020 · Control person joined · fact
- Ray John Williams (Chief Compliance Officer) no longer on Schedule A of Asteria Wealth Llc (listed 2020-01-02, absent 2020-02-27)Feb 27, 2020 · Control person left · inference
- Joseph John Dillon (Chief Compliance Officer) appeared on Schedule A of Asteria Wealth LlcFeb 27, 2020 · Control person joined · fact
- Wildermuth Asset Management, Llc filed its initial SEC registration (Form ADV)Sep 8, 2016 · First SEC registration · fact
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