WEALTHSPIRE ADVISORS
ACG ADVISORY SERVICES, LLC Legal Name
Adviser information for WEALTHSPIRE ADVISORS last updated from Form ADV on March 20th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 307 | $343.6M |
| Non-Discretionary | 62 | $174.5M |
| Total | 369 | $518.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 237 | $82.8M |
| HNW Individuals | 80 | $233.9M |
| 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 | 41 | $38.9M |
| Charitable organizations | <5 | $153.1M |
| 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 | 7 | $9.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-39127 |
|---|---|
| SEC ERA File Number | 801-39127 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106259 |
| Legal Entity Identifier | None |
Principal Office
1640 HUGUENOT ROADMIDLOTHIAN
VA
United States
Monday - Friday, 8:30-5:00
Tel: 804-323-1886, Fax: 804-323-1889
Chief Compliance Officer
MICHAEL DEL PRIORE
CHIEF COMPLIANCE OFFICER
1640 HUGUENOT ROAD
MIDLOTHIAN
VA
United States
Tel:
804.323.1886
Fax:
804.323.1889
M****************@**************M
(Full email address available in API data)
Regulatory Contact
KAREN SMITH
SVP, LEGAL & COMPLIANCE
1640 HUGUENOT ROAD
MIDLOTHIAN
VA
United States
Tel:
804-323-1886
Fax:
804-323-1889
C*********@**************M
(Full email address available in API data)
Industry Affiliates
| ACTUARIAL CONSULTING GROUP, INC. | Other investment adviser, including financial plannersInsurance company or agencyPension consultant |
| GM ADVISORY GROUP, LLC | Other investment adviser, including financial planners |
| NFP RETIREMENT INC. | Other investment adviser, including financial planners |
| WEALTHSPIRE ADVISORS | Other investment adviser, including financial planners |
| WEALTHSPIRE ADVISORS | 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 |
|---|---|---|---|---|---|
| WIGGINS, JOSEPH, SAUNDERS | Individual | – | MANAGING DIRECTOR | 10/2023 | < 5% |
| SCHNEIDER, BRETT, RONALD | Individual | – | DIRECTOR | 07/2023 | < 5% |
| LIESER, LORI, MICHELL | Individual | – | VICE PRESIDENT | 07/2023 | < 5% |
| SONTAG, ERIC, MATTHEW | Individual | – | PRESIDENT & CHIEF OPERATIONS OFFICER | 07/2023 | < 5% |
| O'MALLEY, EDWARD, GEORGE | Individual | – | DIRECTOR | 07/2023 | < 5% |
| MOO, VERONICA, EI CHUN | Individual | – | DIRECTOR | 07/2023 | < 5% |
| STASTNEY, HOYT, RONALD | Individual | – | CHIEF LEGAL OFFICER | 07/2023 | < 5% |
| LAMENA, MICHAEL, ANTHONY | Individual | – | CHIEF EXECUTIVE OFFICER | 07/2023 | < 5% |
| DEL PRIORE, MICHAEL, J | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2023 | < 5% |
| POWERS, BRIAN, DAVID | Individual | – | CHIEF FINANCIAL OFFICER | 07/2023 | < 5% |
| MORIARTY, MICHAEL, JOSEPH | Individual | – | CHIEF INVESTMENT OFFICER | 07/2023 | < 5% |
| WEALTHSPIRE ADVISORS | Domestic Entity | – | OWNER | 07/2023 | > 75% |
| WEALTHSPIRE HOLDINGS, LLC | Domestic Entity | WEALTHSPIRE ADVISORS | MEMBER | 11/2017 | > 75% |
| NFP CORP. | Domestic Entity | WEALTHSPIRE HOLDINGS, LLC | OWNER | 11/2017 | > 75% |
| NFP INTERMEDIATE HOLDINGS B. CORP. | Domestic Entity | NFP CORP. | OWNER | 07/2013 | > 75% |
| NFP INTERMEDIATE HOLDINGS A. CORP. | Domestic Entity | NFP INTERMEDIATE HOLDINGS B. CORP. | OWNER | 07/2013 | > 75% |
| NFP PARENT CO, LLC | Domestic Entity | NFP INTERMEDIATE HOLDINGS A. CORP. | OWNER | 10/2014 | > 75% |
| NFP HOLDINGS, LLC | Domestic Entity | NFP PARENT CO, LLC | OWNER | 07/2013 | > 75% |
| NFP ULTIMATE HOLDINGS, LLC | Domestic Entity | NFP HOLDINGS, LLC | OWNER | 02/2017 | > 75% |
| PATRIOT SPV, L.P. | Domestic Entity | NFP ULTIMATE HOLDINGS, LLC | OWNER | 03/2021 | > 75% |
| PATRIOT SPV GP, L.P. | Domestic Entity | PATRIOT SPV, L.P. | GENERAL PARTNER | 03/2021 | |
| MADISON DEARBORN PARTNERS | Domestic Entity | PATRIOT SPV GP, L.P. | GENERAL PARTNER | 03/2021 |