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

Wellington Wealth Strategies, LLC

Former SEC-registered adviserIndianapolis, IndianaCRD 306298SEC 801-128328websiteIAPD
Latest filing Mar 14, 2025
First filing on the tape Jun 13, 2023 · 17 filings
SEC status approved since Jul 13, 2023
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$146M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$146M as of Mar 14, 2025
Mar 22, 2024$280M then
HNW client RAUM$82.0M as of Mar 14, 2025
Mar 22, 2024$120M then
State-registered IARs (5.B.3)8 as of Mar 14, 2025
Mar 22, 202414 then
Employees (5.A)10 as of Mar 14, 2025
Mar 22, 202418 then
Private funds: 1
RAUM -48% over the last fiscal yearIARs 14 to 8
Practice profile
derived from the filing of Mar 14, 2025; every figure names its basis
RAUM per advisor
$18.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
40derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$252,768derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-48%derivedbetween the last two annual amendments
Advisor growth, one year
-43%derivedItem 5.B.3 between annual amendments
Client growth, one year
-73%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$11.0M, 25 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)
  • a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$82.0M56%
  • Individuals$63.6M44%
Individual clients
295reported
HNW clients
23reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
576reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$11.0M for 25 clientsreported
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
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
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Wws - Grove, LLCReal Estate Fund$10.0M50Aug 28, 2024
Owners and control persons
Schedule A and B, latest filing
  • J Anthony Bonanno · Membercontrol
    since 09/2023 · owns 25% to 50%
  • L Thomas Cates · Membercontrol
    since 09/2023 · owns 10% to 25%
  • Thomas Gregory Freeman · Membercontrol
    since 09/2023 · owns less than 5%
  • Thomas Joe Hillman · Membercontrol
    since 09/2023 · owns less than 5%
  • T Maxwell Moritz · Membercontrol
    since 09/2023 · owns 5% to 10%
  • Thomas Gregory Freeman · Membercontrol
    since 12/2021 · owns 75% or more of Freeman Financial, LLC
  • Thomas Joe Hillman · Membercontrol
    since 12/2021 · owns 75% or more of Hillman Financial, LLC
  • Ryan Boester · Member
    since 09/2023 · owns less than 5%
  • Lee Christopher Payne · Chief Compliance Officer
    since 09/2023 · owns less than 5%
Entity owners
  • Freeman Financial, LLC · Member
    direct · owns 25% to 50%
  • Hillman Financial, LLC · Member
    direct · owns 10% to 25%
Related persons
Schedule D 7.A
  • Wws - Grove, LLC
    pooled vehicle sponsorn
Advisers that list Wellington Wealth Strategies, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Indianapolis, In · principal007
Spring Grove, Il000
Offices
Schedule D 1.F, the 25 largest
  • Spring Grove, IL1 employees
What changed
consecutive filings, newest first
  • Accounts · 1,199 to 576
    Jan 2, 2025 to Mar 14, 2025
  • Advisory employees · 15 to 8
    Jan 2, 2025 to Mar 14, 2025
  • Charity clients · 0.0 to unset
    Jan 2, 2025 to Mar 14, 2025
  • Corporate clients · 5.0 to unset
    Jan 2, 2025 to Mar 14, 2025
  • HNW clients · 43 to 23
    Jan 2, 2025 to Mar 14, 2025
  • Individual clients · 1,150 to 295
    Jan 2, 2025 to Mar 14, 2025
  • Pension plan clients · 0.0 to unset
    Jan 2, 2025 to Mar 14, 2025
  • Pooled vehicle clients · 1.0 to unset
    Jan 2, 2025 to Mar 14, 2025
  • Assets in custody · $50.8M to $11.0M
    Jan 2, 2025 to Mar 14, 2025
  • Employees · 18 to 10
    Jan 2, 2025 to Mar 14, 2025
  • Insurance-licensed employees · 0 to 8
    Jan 2, 2025 to Mar 14, 2025
  • Financial planning clients · 251-500 to 251-500
    Jan 2, 2025 to Mar 14, 2025
  • State-registered IARs · 14 to 8
    Jan 2, 2025 to Mar 14, 2025
  • Private funds · 1 to unset
    Jan 2, 2025 to Mar 14, 2025
  • Discretionary RAUM · $290M to $146M
    Jan 2, 2025 to Mar 14, 2025
  • HNW RAUM · $120M to $82.0M
    Jan 2, 2025 to Mar 14, 2025
  • Individual RAUM · $149M to $63.6M
    Jan 2, 2025 to Mar 14, 2025
  • Pension RAUM · 0.0 to unset
    Jan 2, 2025 to Mar 14, 2025
  • Pooled vehicle RAUM · 10000000.0 to unset
    Jan 2, 2025 to Mar 14, 2025
  • RAUM · $290M to $146M
    Jan 2, 2025 to Mar 14, 2025
  • Related adviser · false to true
    Jan 2, 2025 to Mar 14, 2025
  • Accounts · 1,198 to 1,199
    Jul 16, 2024 to Aug 28, 2024
  • Advisory activities · 3 to 4
    Jul 16, 2024 to Aug 28, 2024
  • Pooled vehicle clients · 0 to 1
    Jul 16, 2024 to Aug 28, 2024
  • Private funds · unset to 1
    Jul 16, 2024 to Aug 28, 2024
  • Discretionary RAUM · $280M to $290M
    Jul 16, 2024 to Aug 28, 2024
  • Pooled vehicle RAUM · $0 to $10.0M
    Jul 16, 2024 to Aug 28, 2024
  • RAUM · $280M to $290M
    Jul 16, 2024 to Aug 28, 2024
  • Accounts · 447 to 1,198
    Dec 12, 2023 to Mar 22, 2024
  • Advisory employees · 7 to 15
    Dec 12, 2023 to Mar 22, 2024
  • BD registered reps · 0 to 1
    Dec 12, 2023 to Mar 22, 2024
  • Corporate clients · 1 to 5
    Dec 12, 2023 to Mar 22, 2024
  • HNW clients · 22 to 43
    Dec 12, 2023 to Mar 22, 2024
  • Individual clients · 425 to 1,150
    Dec 12, 2023 to Mar 22, 2024
  • Assets in custody · unset to 50821250.0
    Dec 12, 2023 to Mar 22, 2024
  • Custody of client assets · false to true
    Dec 12, 2023 to Mar 22, 2024
  • Employees · 13 to 18
    Dec 12, 2023 to Mar 22, 2024
  • State-registered IARs · 7 to 14
    Dec 12, 2023 to Mar 22, 2024
  • Discretionary RAUM · $98.5M to $280M
    Dec 12, 2023 to Mar 22, 2024
  • HNW RAUM · $40.3M to $120M
    Dec 12, 2023 to Mar 22, 2024
Signals
31 dated events
  • Wellington Wealth Strategies, Llc no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $145.6M)
    Feb 2, 2026 · Left the SEC roster · derived
  • Thomas L Cates no longer registered at Wellington Wealth Strategies, Llc; no later IA registration on IAPD
    Dec 31, 2025 · Advisor departure · fact
  • Maxwell T Moritz no longer registered at Wellington Wealth Strategies, Llc; no later IA registration on IAPD
    Dec 31, 2025 · Advisor departure · fact
  • Nathaniel John Miller no longer registered at Wellington Wealth Strategies, Llc; no later IA registration on IAPD
    Dec 31, 2025 · Advisor departure · fact
  • Patrick Hagan Dykstra no longer registered at Wellington Wealth Strategies, Llc; no later IA registration on IAPD
    Dec 31, 2025 · Advisor departure · fact
  • Nicholas Bela Prokai no longer registered at Wellington Wealth Strategies, Llc; no later IA registration on IAPD
    Dec 31, 2025 · Advisor departure · fact
  • Anthony J Bonanno no longer registered at Wellington Wealth Strategies, Llc; no later IA registration on IAPD
    Dec 31, 2025 · Advisor departure · fact
  • Andrew James Cornell no longer registered at Wellington Wealth Strategies, Llc; no later IA registration on IAPD
    Dec 31, 2025 · Advisor departure · fact
  • Michael Chandler Shively left Wellington Wealth Strategies, Llc for Corient (registered 2025-05-16)
    Apr 18, 2025 · Advisor changed firm · fact
  • Wellington Wealth Strategies, Llc reported RAUM $145.6M, down 50% from $289.6M (2025-01-02 to 2025-03-14)
    Mar 14, 2025 · RAUM change · derived
  • Andrew James Cornell left Wellington Wealth Strategies, Llc for The Wellington Grp Llc (registered 2024-11-15)
    Dec 31, 2024 · Advisor changed firm · fact
  • Patrick Hagan Dykstra left Wellington Wealth Strategies, Llc for The Wellington Grp Llc (registered 2024-10-22)
    Dec 31, 2024 · Advisor changed firm · fact
  • Thomas L Cates left Wellington Wealth Strategies, Llc for The Wellington Grp Llc (registered 2024-10-22)
    Dec 31, 2024 · Advisor changed firm · fact
  • Christopher Bryon Bauchle left Wellington Wealth Strategies, Llc for Strive Financial Group, Llc (registered 2024-10-30)
    Dec 31, 2024 · Advisor changed firm · fact
  • Joseph Thomas Hillman left Wellington Wealth Strategies, Llc for Strive Financial Group, Llc (registered 2024-10-30)
    Dec 31, 2024 · Advisor changed firm · fact
  • Joshua Michael Damore left Wellington Wealth Strategies, Llc for Strive Financial Group, Llc (registered 2024-10-30)
    Dec 31, 2024 · Advisor changed firm · fact
  • Maxwell T Moritz left Wellington Wealth Strategies, Llc for The Wellington Grp Llc (registered 2024-10-17)
    Dec 31, 2024 · Advisor changed firm · fact
  • Michael Chandler Shively left Wellington Wealth Strategies, Llc for The Wellington Grp Llc (registered 2024-10-22)
    Dec 31, 2024 · Advisor changed firm · fact
  • Nicholas Bela Prokai left Wellington Wealth Strategies, Llc for The Wellington Grp Llc (registered 2024-10-17)
    Dec 31, 2024 · Advisor changed firm · fact
  • Nathaniel John Miller left Wellington Wealth Strategies, Llc for The Wellington Grp Llc (registered 2024-10-30)
    Dec 31, 2024 · Advisor changed firm · fact
  • Anthony J Bonanno left Wellington Wealth Strategies, Llc for The Wellington Grp Llc (registered 2024-10-30)
    Dec 31, 2024 · Advisor changed firm · fact
  • Ross Joseph Douglas Gaddy left Wellington Wealth Strategies, Llc for Strive Financial Group, Llc (registered 2024-10-30)
    Dec 31, 2024 · Advisor changed firm · fact
  • Gregory Thomas Freeman left Wellington Wealth Strategies, Llc for Strive Financial Group, Llc (registered 2024-10-30)
    Dec 31, 2024 · Advisor changed firm · fact
  • Wellington Wealth Strategies, LLC's advisors moved to The Wellington Grp LLC (Indianapolis, IN): 8 of 13 registered, on the same day
    Dec 31, 2024 · Firm absorbed (people side) · derived
  • 4 advisors left Wellington Wealth Strategies, LLC (Indianapolis, IN) for Strive Financial Group, LLC on the same day
    Dec 31, 2024 · Team lift-out · derived
  • Wellington Wealth Strategies, Llc reported RAUM $279.6M, up 175% from $101.6M (2023-12-12 to 2024-03-22)
    Mar 22, 2024 · RAUM change · derived
  • T Maxwell Moritz (Member) appeared on Schedule A of Wellington Wealth Strategies, Llc
    Sep 19, 2023 · Control person joined · fact
  • J Anthony Bonanno (Member) appeared on Schedule A of Wellington Wealth Strategies, Llc
    Sep 19, 2023 · Control person joined · fact
  • L Thomas Cates (Member) appeared on Schedule A of Wellington Wealth Strategies, Llc
    Sep 19, 2023 · Control person joined · fact
  • 6 advisors left Park Avenue Securities LLC (Indianapolis, IN) for Wellington Wealth Strategies, LLC within 8 days
    Sep 7, 2023 · Team lift-out · derived
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
Across the graphs

Wellington Wealth Strategies, LLC is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…