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

Wealthshield LLC

Former SEC-registered adviserCary, North CarolinaCRD 288875SEC 801-110853websiteIAPD
Latest filing Mar 31, 2025
First filing on the tape Jun 20, 2017 · 17 filings
SEC status approved since Jul 21, 2017
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2025
Mar 29, 2018$128M then
HNW client RAUM$262M as of Mar 30, 2020
Mar 29, 2018$59.8M then
State-registered IARs (5.B.3)0 as of Mar 31, 2025
Mar 29, 20182 then
Employees (5.A)3 as of Mar 31, 2025
Mar 29, 20185 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2025; 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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Wayne Clinton Sorenson · Managing Membercontrol
    since 04/2017 · owns 75% or more
  • Wayne Clinton Sorenson · Managing Member And Ownercontrol
    since 12/2020 · owns 75% or more of Clint And Robert Holdings, LLC
  • Marie Justine Kidwell · Chief Compliance Officer
    since 01/2023 · owns less than 5%
Entity owners
  • Clint And Robert Holdings, LLC · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • Org Partners
    investment advisernRAUM $773M
  • Wealthshield Insurance LLC
    real estatey
Advisers that list Wealthshield LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Cary, Nc · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · unset to 0.0
    Mar 28, 2024 to Mar 31, 2025
  • Discretionary RAUM · unset to 0.0
    Mar 28, 2024 to Mar 31, 2025
  • Non-discretionary RAUM · unset to 0.0
    Mar 28, 2024 to Mar 31, 2025
  • RAUM · unset to 0.0
    Mar 28, 2024 to Mar 31, 2025
  • Advisory employees · 7 to 1
    Mar 31, 2023 to Mar 28, 2024
  • Employees · 8 to 3
    Mar 31, 2023 to Mar 28, 2024
  • Advisory employees · 6 to 7
    Jun 3, 2022 to Mar 31, 2023
  • Employees · 6 to 8
    Jun 3, 2022 to Mar 31, 2023
  • Insurance-licensed employees · 1 to 0
    Jun 3, 2022 to Mar 31, 2023
  • State-registered IARs · 4 to 0
    Jun 3, 2022 to Mar 31, 2023
  • Advisory employees · 8 to 6
    Mar 31, 2021 to Mar 23, 2022
  • BD registered reps · 2 to 0
    Mar 31, 2021 to Mar 23, 2022
  • Employees · 8 to 6
    Mar 31, 2021 to Mar 23, 2022
  • Insurance-licensed employees · 2 to 1
    Mar 31, 2021 to Mar 23, 2022
  • State-registered IARs · 6 to 4
    Mar 31, 2021 to Mar 23, 2022
  • Accounts · 3371.0 to unset
    Jun 30, 2020 to Mar 31, 2021
  • Discretionary RAUM · 560353169.0 to unset
    Jun 30, 2020 to Mar 31, 2021
  • Non-discretionary RAUM · 0.0 to unset
    Jun 30, 2020 to Mar 31, 2021
  • RAUM · 560353169.0 to unset
    Jun 30, 2020 to Mar 31, 2021
  • Wrap assets (manager) · unset to 0.0
    Jun 30, 2020 to Mar 31, 2021
  • Wrap assets (sponsor) · unset to 0.0
    Jun 30, 2020 to Mar 31, 2021
  • Charity clients · 3.0 to unset
    Jun 8, 2020 to Jun 30, 2020
  • Corporate clients · 11.0 to unset
    Jun 8, 2020 to Jun 30, 2020
  • HNW clients · 95.0 to unset
    Jun 8, 2020 to Jun 30, 2020
  • Individual clients · 1708.0 to unset
    Jun 8, 2020 to Jun 30, 2020
  • HNW RAUM · 261809719.0 to unset
    Jun 8, 2020 to Jun 30, 2020
  • Individual RAUM · 262982642.0 to unset
    Jun 8, 2020 to Jun 30, 2020
  • Accounts · 2,470 to 3,371
    Oct 24, 2019 to Mar 30, 2020
  • Advisory employees · 6 to 8
    Oct 24, 2019 to Mar 30, 2020
  • Charity clients · 1 to 3
    Oct 24, 2019 to Mar 30, 2020
  • Corporate clients · 14 to 11
    Oct 24, 2019 to Mar 30, 2020
  • HNW clients · 899 to 95
    Oct 24, 2019 to Mar 30, 2020
  • Individual clients · 364 to 1,708
    Oct 24, 2019 to Mar 30, 2020
  • Employees · 6 to 8
    Oct 24, 2019 to Mar 30, 2020
  • Discretionary RAUM · $446M to $560M
    Oct 24, 2019 to Mar 30, 2020
  • HNW RAUM · $292M to $262M
    Oct 24, 2019 to Mar 30, 2020
  • Individual RAUM · $93.9M to $263M
    Oct 24, 2019 to Mar 30, 2020
  • RAUM · $446M to $560M
    Oct 24, 2019 to Mar 30, 2020
  • Accounts · 410 to 2,470
    Mar 29, 2018 to Mar 26, 2019
  • Advisory employees · 2 to 6
    Mar 29, 2018 to Mar 26, 2019
Signals
9 dated events
  • Wealthshield Llc no longer on the SEC adviser roster (last listed 2025-05-02)
    Jun 2, 2025 · Left the SEC roster · derived
  • Max Andrew Rockwell left Wealthshield Llc for Ascentis Asset Management, Llc (registered 2023-08-07)
    May 31, 2025 · Advisor changed firm · fact
  • Alexander Robert Leggett (Managing Member & Chief Compliance Officer) no longer on Schedule A of Wealthshield Llc (listed 2022-06-03, absent 2023-03-31)
    Mar 31, 2023 · Control person left · inference
  • Alexander Robert Leggett (Managing Member And Owner) no longer on Schedule A of Wealthshield Llc (listed 2022-06-03, absent 2023-03-31)
    Mar 31, 2023 · Control person left · inference
  • Robert Alexander Leggett left Wealthshield Llc for Wealth Enhancement Advisory Services, Llc (registered 2026-07-01)
    Mar 31, 2023 · Advisor changed firm · fact
  • Nathan Matthew Lenz left Wealthshield Llc for Concurrent Investment Advisors, Llc (registered 2025-01-06)
    Jun 1, 2022 · Advisor changed firm · fact
  • Wealthshield Llc reported RAUM $560.4M, up 26% from $446.5M (2019-10-24 to 2020-03-30)
    Mar 30, 2020 · RAUM change · derived
  • Wealthshield Llc reported RAUM $446.5M, up 250% from $127.7M (2018-03-29 to 2019-03-26)
    Mar 26, 2019 · RAUM change · derived
  • Wealthshield Llc filed its initial SEC registration (Form ADV)
    Jun 20, 2017 · 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