VESTIA PERSONAL WEALTH ADVISORS
VESTIA ADVISORS, LLC Legal Name
Adviser information for VESTIA PERSONAL WEALTH ADVISORS last updated from Form ADV on March 28th, 2024. 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 | Indiana, United States |
Employees
| Total Number of Employees | 23 |
|---|---|
| Investment Advisory/Research | 15 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 15 |
| Licensed Agents of an Insurance Company | 16 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3,325 | $668.4M |
| Non-Discretionary | 0 | $0 |
| Total | 3,325 | $668.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,122 | $88.3M |
| HNW Individuals | 2,186 | $563.4M |
| 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 | 17 | $16.7M |
| 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 | 19 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-112175 |
|---|---|
| SEC ERA File Number | 801-112175 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 290565 |
| Legal Entity Identifier | None |
Principal Office
9121 ILLINOIS ROADSUITE 51
FORT WAYNE
IN
United States
Monday - Friday, BY APPOINTMENT
Tel: 877-669-1126, Fax: None
Chief Compliance Officer
STACY SIZEMORE
CHIEF COMPLIANCE OFFICER
15350 SW SEQUOIA PARKWAY
SUITE 250
PORTLAND
OR
United States
Tel:
971-371-3450
S****@**********M
(Full email address available in API data)
Regulatory Contact
THOMAS MARTIN
ORGANIZATIONAL LEADER / DIRECTOR
9121 ILLINOIS ROAD
FORT WAYNE
IN
United States
Tel:
877-669-1126
T******@*********M
(Full email address available in API data)
Industry Affiliates
| MAMMOTH ADVISORS, LLC | Other investment adviser, including financial planners |
| MAMMOTH SCIENTIFIC, LLC | Other investment adviser, including financial planners |
| VESTIA INSURANCE, LTD | Insurance company or agency |
| VESTIA RETIREMENT PLAN CONSULTANTS | Pension consultant |
| VESTIA VENTURES, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| VESTIA HOLDINGS, LLC | Domestic Entity | – | HOLDING COMPANY | 09/2017 | > 75% |
| Martin, Thomas, Scott | Individual | – | DIRECTOR | 11/2017 | < 5% |
| TRENT, MICHAEL, WILLIAM | Individual | SAHWA ADVISORY SERVICES, LLC | MANAGING MEMBER | 10/2017 | > 75% |
| OSCHMAN, LAUREN, LAW | Individual | MD ADVISORY SERVICES, LLC | MANAGING MEMBER | 10/2017 | > 75% |
| HEASLEY, CAMERON, DONALD | Individual | CDH FINANCIAL, LLC | MANAGING MEMBER | 10/2017 | > 75% |
| CDH FINANCIAL, LLC | Domestic Entity | VESTIA HOLDINGS, LLC | MINORITY MEMBER | 10/2017 | |
| SAHWA ADVISORY SERVICES, LLC | Domestic Entity | VESTIA HOLDINGS, LLC | MINORITY MEMBER | 10/2017 | |
| MD ADVISORY SERVICES, LLC | Domestic Entity | VESTIA HOLDINGS, LLC | MINORITY MEMBER | 10/2017 | |
| LEE, SANG, KILL | Individual | VESTIA HOLDINGS, LLC | MINORITY MEMBER | 10/2017 | |
| ABNORMAL CONSULTING, LLC | Domestic Entity | VESTIA HOLDINGS, LLC | MINORITY MEMBER | 12/2017 | |
| MARTIN, THOMAS, SCOTT | Individual | ABNORMAL CONSULTING, LLC | MANAGING MEMBER | 12/2017 | > 75% |
| SIZEMORE, STACY, LEIGH | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2018 | < 5% |
| Quick, Bradlee, Marvin | Individual | – | PRESIDENT AND CHIEF OPERATING OFFICER | 07/2019 | < 5% |
| KABRANA, LLC | Domestic Entity | VESTIA HOLDINGS, LLC | MINORITY MEMBER | 01/2020 | |
| Quick, Bradlee, Marvin | Individual | KABRANA, LLC | MANAGING MEMBER | 01/2020 | > 75% |
| FRIEDOW, FORREST, MICHAEL | Individual | 6174 HOLDINGS, INC | MANAGING MEMBER | 10/2020 | > 75% |
| 6174 HOLDINGS, INC | Domestic Entity | VESTIA HOLDINGS, LLC | MINORITY MEMBER | 10/2020 | |
| OSCHMAN, LAUREN, LAW | Individual | – | CHIEF EXECUTIVE OFFICER | 06/2022 | < 5% |
| TRENT, MICHAEL, WILLIAM | Individual | – | CHIEF TECHNOLOGY OFFICER | 06/2022 | < 5% |
| COLLABORATIVE CONSULTING, LLC. | Domestic Entity | VESTIA HOLDINGS, LLC | MINORITY MEMBER | 06/2022 | |
| HELMUTH, KAMERON, J | Individual | COLLABORATIVE CONSULTING, LLC. | MANAGING MEMBER | 06/2022 | > 75% |
| PERIDOT REVER HOLDINGS, LLC | Domestic Entity | VESTIA HOLDINGS, LLC | MINORITY MEMBER | 01/2024 | |
| DENSON, JACQUELYN, DIANE | Individual | PERIDOT REVER HOLDINGS, LLC | MANAGING MEMBER | 01/2024 | > 75% |