ASTERIA WEALTH LLC
Adviser information for ASTERIA WEALTH LLC last updated from Form ADV on June 30th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 515 | $97.8M |
| Non-Discretionary | 4 | $546,964 |
| Total | 519 | $98.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 351 | $64.1M |
| HNW Individuals | 18 | $34.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 1 | $120,571 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 14.5M |
| Portfolio Manager | 0 |
| Both for Same | 83.8M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ASTERIA WEALTH WRAP FEE PROGRAM | ASTERIA WEALTH LLC |
Identifiers
| SEC RIA File Number | 801-108406 |
|---|---|
| SEC ERA File Number | 801-108406 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 285106 |
| Legal Entity Identifier | None |
Principal Office
1263 PONTE VEDRA BLVDPONTE VEDRA BEACH
FL
United States
Monday - Friday, 9AM - 5PM
Tel: 770-407-5401, Fax: None
Chief Compliance Officer
SUZANNE HAMMER
CCO
223 WILMINGTON WEST CHESTER PIKE, SUITE 216
223
CHADDS FORD
PA
United States
Tel:
610-467-5020
Fax:
610-467-5020
S******@**************M
(Full email address available in API data)
Regulatory Contact
CAROL WILDERMUTH
1263 PONTE VEDRA BLVD,
SUITE 301
PONTE VEDRA BEACH
FL
United States
Tel:
770- 407- 5401
C**********@****************M
(Full email address available in API data)
Industry Affiliates
| KALOS MANAGEMENT | Other investment adviser, including financial planners |
| WILDERMUTH ADVISORY, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WILDERMUTH, DANIEL, LLOYD | Individual | – | CHIEF INVESTMENT OFFICER AND PRESIDENT | 08/2016 | < 5% |
| THE WILDERMUTH FAMILY GIFT TRUST II | Domestic Entity | – | TRUST / MANAGING MEMBER | 08/2016 | > 75% |
| WILDERMUTH, DANIEL, LLOYD | Individual | THE WILDERMUTH FAMILY GIFT TRUST II | TRUSTEE | 08/2016 | |
| HAMMER, SUZANNE, MARIO | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2022 | < 5% |