Hedge Fund Database

WELLSPRING FINANCIAL ADVISORS, LLC

Adviser information for WELLSPRING FINANCIAL ADVISORS, LLC last updated from Form ADV on March 14th, 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 Ohio, United States

Employees

Total Number of Employees 26
Investment Advisory/Research 11
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 7
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 870 $980.7M
Non-Discretionary 760 $2.6B
Total 1,630 $3.6B

Clients

Type Number RAUM
Individuals 20 $57.3M
HNW Individuals 112 $3.5B
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 0 $0
Charitable organizations 6 $29.7M
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
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)TAX PLANNING AND COMPLIANCE
Compensation % of AUMFixed fees
Other Business Activities FINANCIAL ADVISORS

Identifiers

SEC RIA File Number 801-67630
SEC ERA File Number 801-67630
SEC CIK Numbers 1811308
SEC CRD Numbers 143112
Legal Entity Identifier None

Principal Office

5900 LANDERBROOK DRIVE
SUITE 100
CLEVELAND
OH
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 216-367-0680, Fax: 216-367-0690

Websites

www.wellspringadvisorsllc.com www.facebook.com/wellspring-financial-advisors-llc-72221762513/ www.linkedin.com/company/wellspring-financial-advisors-llc/

Chief Compliance Officer

LAURA A. CAPUOZZO
CHIEF COMPLIANCE OFFICER
5885 LANDERBROOK DRIVE
SUITE 205
CLEVELAND
OH
United States
Tel: 216-367-0680
Fax: 216-367-0690
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
TURGEON, RICHARD, JOSEPH Individual – DIRECTOR 04/2016 10-25%
NOVAK, MICHAEL, THOMAS Individual – MANAGING DIRECTOR 01/2007 50-75%
CAPUOZZO, LAURA, ANN Individual – CHIEF COMPLIANCE OFFICER 01/2007 5-10%
Staton, Jennifer Individual – DIRECTOR 01/2021 10-25%

No. Employees, Historic

30150201920202021202220232024202519 on 4/1/201919 on 12/9/201919 on 1/7/202019 on 3/27/202019 on 6/30/202018 on 3/22/202118 on 4/13/202118 on 1/11/202218 on 1/24/202219 on 3/11/202219 on 12/2/202221 on 3/10/202321 on 3/30/202321 on 4/19/202321 on 1/4/202426 on 3/14/2024

RAUM, Historic

4B2B020192020202120222023202420251434925827 on 4/1/20191434925827 on 12/9/20191434925827 on 1/7/20201752049270 on 3/27/20201752049270 on 6/30/20201922296136 on 3/22/20211922296136 on 4/13/20211922296136 on 1/11/20221922296136 on 1/24/20222421171394 on 3/11/20222421171394 on 12/2/20222346769355 on 3/10/20232346769355 on 3/30/20232346769355 on 4/19/20232346769355 on 1/4/20243629363797 on 3/14/2024

No. Clients, Historic

2001000201920202021202220232024202596 on 4/1/201996 on 12/9/201996 on 1/7/202099 on 3/27/202099 on 6/30/202098 on 3/22/202198 on 4/13/202198 on 1/11/202298 on 1/24/2022103 on 3/11/2022103 on 12/2/2022114 on 3/10/2023114 on 3/30/2023114 on 4/19/2023114 on 1/4/2024138 on 3/14/2024

Holdings

From latest 13F, filed August 12th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM COM 284K 3K –
ABBVIE INC COM COM 592K 3K –
ACV AUCTIONS INC COM CL A CL A 1M 80K –
ADOBE SYS INC COM 260K 468 –
ADVANCED MICRO DEVICES INC COM COM 314K 2K –
AIMEI HEALTH TECHNOLOGY CO LTD SHS SHS 124K 12K –
ALPHABET INC CAP STK CL C CL C 2M 12K –
AMAZON.COM INC COM 5M 24K –
AMGEN INC COM 851K 3K –
AON CORP COM 383K 1K –
APPLE INC COM 12M 57K –
APPLIED MATLS INC COM COM 280K 1K –
ARHAUS INC COM CL A COM CL A 571K 34K –
BANK AMERICA CORP COM COM 421K 11K –
BERKSHIRE HATHAWAY INC DEL CL B NEW CL B NEW 1M 3K –
BITWISE CRYPTO INDUSTRY INNOVATORS ETF BITWISE CRYPTO 421K 31K –
BLACKROCK MUN INCOME TR SH BEN INT SH BEN INT 251K 25K –
BLACKROCK MUNI INCOME TR II COM COM 209K 19K –
BLACKROCK MUNICIPAL INCOME COM COM 689K 56K –
BLACKROCK MUNIHLDGS NY QLTY FD COM COM 108K 10K –
BLACKROCK MUNIHOLDINGS FD INC COM COM 522K 43K –
BLACKROCK MUNIVEST FD INC COM COM 483K 67K –
BRC INC COM CL A COM CLA 121K 20K –
BROADCOM INC COM COM 567K 353 –
CADENCE DESIGN SYSTEM INC COM COM 227K 737 –
CINTAS CORP COM 246K 351 –
CONOCOPHILLIPS COM COM 254K 2K –
CONSUMER DISCRETIONARY SEL SECTOR SPDR FD SBI CONS DISCR 22M 123K –
COSTCO WHOLESALE CORP COM 2M 2K –
CRH PLC ORD ORD 245K 3K –
CROWDSTRIKE HLDGS INC CL A CL A 264K 689 –
DANAHER CORP COM 423K 2K –
DISNEY WALT CO COM COM DISNEY 416K 4K –
DWS MUNICIPAL INCOME COM 295K 31K –
EATON VANCE MUN BD FD COM COM 826K 78K –
ECOLAB INC COM COM 226K 948 –
ELI LILLY & CO COM COM 576K 636 –
ENERGY SELECT SECTOR SPDR COM 247K 3K –
EXXON MOBIL CORP COM COM 2M 14K –
FIDELITY WISE ORIGIN BITCOIN FUND SHS 774K 15K –
FINTECH ECOSYSTEM DEVE CLASS A COM CLASS A COM 183K 16K –
FISERV INC COM 253K 2K –
GARTNER INC CL A CL A 208K 463 –
GE AEROSPACE COM NEW COM NEW 227K 1K –
GOLDMAN SACHS GROUP INC COM 340K 751 –
GOLDMAN SACHS PHYSICAL GOLD ETF UNIT 32M 1M –
GOOGLE INC CAP STK CL A 1M 7K –
GUGGENHEIM ETF TRUST S&P 500 EQUAL WEIGHT S&P500 EQL WGT 4M 27K –
HEALTH CARE SELECT SECTOR SPDR SBI HEALTHCARE 417K 3K –
HILTON WORLDWIDE HLDGS INC COM COM 243K 1K –
HOME DEPOT COM 351K 1K –
INDUSTRIAL SELECT SECTOR SPDR SBI INT-INDS 4M 29K –
INTERCONTINENTAL EXCHANGE INC COM COM 229K 2K –
INVESCO CURRENCYSHARES SWISS FRANC TRUST SWISS FRANC 346K 4K –
INVESCO MUNICIPAL TRUST COM COM 359K 36K –
INVESCO QUALITY MUN INCOME TR COM COM 288K 29K –
ISHARES 0-3 MONTH TREASURY BOND ETF 0-3 MNTH TREASRY 16M 158K –
ISHARES 1-3 YR CREDIT BOND ETF ISHS 1-5YR INVS 2M 36K –
ISHARES 1-3 YR TREASURY BOND ETF 1 3 YR TREAS BD 11M 133K –
ISHARES 7-10 YEAR TREASURY BOND ETF 7-10 YR TRSY BD 13M 142K –
ISHARES CORE HIGH DIVIDEND ETF CORE HIGH DV ETF 1M 11K –
ISHARES CORE MSCI EAFE ETF CORE MSCI EAFE 38M 526K –
ISHARES CORE MSCI EMERGING MARKETS ETF CORE MSCI EMKT 22M 403K –
ISHARES CORE S&P MID CAP ETF CORE S&P MCP ETF 3M 1M –
ISHARES CORE S&P U.S. GROWTH ETF CORE S&P US GWT 1M 9K –
ISHARES CORE S&P US VALUE ETF CORE S&P US VLU 1M 14K –
ISHARES DJ SELECT DIVIDEND SELECT DIVID ETF 894K 7K –
ISHARES GOLD TRUST ETF ISHARES NEW 6M 135K –
ISHARES IBOXX $ INVESTMENT GRADE CORPORATE BOND ETF IBOXX INV CP ETF 3M 28K –
ISHARES RUSSELL 1000 GROWTH ETF RUS 1000 GRW ETF 24M 67K –
ISHARES RUSSELL 1000 VALUE ETF RUS 1000 VAL ETF 3M 20K –
ISHARES S&P 500 GROWTH ETF S&P 500 GRWT ETF 9M 97K –
ISHARES S&P 500 INDEX CORE S&P500 ETF 206M 377K –
ISHARES S&P 500 VALUE ETF S&P 500 VAL ETF 2M 12K –
ISHARES S&P MIDCAP 400 GROWTH INDEX S&P MC 400GR ETF 2M 20K –
ISHARES S&P MIDCAP 400 VALUE ETF S&P MC 400VL ETF 1M 12K –
ISHARES S&P NORTH AMER TECH-SOFTWARE EXPANDED TECH 20M 2M –
ISHARES S&P SMALLCAP 600 ETF CORE S&P SCP ETF 13M 450K –
ISHARES S&P SMALLCAP 600 GROWTH ETF S&P SML 600 GWT 445K 3K –
ISHARES TR MSCI ACWIINDEX FD MSCI ACWI ETF 1M 9K –
ISHARES TR RUSSELL 1000 INDEX ETF RUS 1000 ETF 375K 1K –
ISHARES TR S&P 1500 INDEX FD CORE S&P TTL STK 420K 4K –
JOHNSON & JOHNSON COM COM 4M 28K –
JPMORGAN CHASE & CO COM COM 743K 4K –
LINDE PLC SHS SHS 235K 536 –
LOWES COS INC COM COM 202K 917 –
MASTERCARD INC COM 612K 1K –
MCKESSON CORP COM 264K 452 –
MERCK & CO INC COM 210K 2K –
META PLATFORMS INC CL A CL A 1M 2K –
MICROSOFT COM 6M 13K –
MOTOROLA SOLUTIONS INC COM NEW COM NEW 215K 556 –
NETFLIX COM INC COM 237K 351 –
NEXTERA ENERGY INC COM COM 227K 3K –
NOVO-NORDISK A/S ADR ADR CMN ADR 244K 2K –
NUVEEN AMT FREE MUN CR INC FD COM COM 125K 10K –
NUVEEN AMT FREE QLTY MUN INCME COM COM 837K 73K –
NUVEEN CA QUALTY MUN INCOME FD COM COM 307K 27K –
NUVEEN MUNICIPAL CREDIT INC FD COM SH BEN INT SH BEN INT 174K 14K –
NUVEEN NEW YORK AMT QLT MUNICP COM COM 627K 56K –
NUVEEN QUALITY MUNCP INCOME FD COM COM 703K 60K –
NVIDIA CORP COM 5M 35K –
NXP SEMICONDUCTORS NV COM COM 320K 1K –
OCA ACQUISITION CORP COM CL A COM CL A 171K 15K –
PEPSICO INC COM COM 392K 2K –
POWERSHARES QQQ TR UNIT SER 1 2M 1M –
POWERSHARES SP500 LOW VOLATILITY ETF S&P500 LOW VOL 637K 10K –
PROCTER AND GAMBLE CO COM COM 684K 4K –
QUALCOMM INC COM COM 221K 1K –
RAYMOND JAMES FINL INC COM 3M 24K –
RAYONIER ADVANCED MATLS INC COM COM 672K 124K –
RIVERNORTH FLEXIBLE MUNI INCME COM COM 141K 10K –
RTX CORPORATION COM COM 228K 2K –
S&P GLOBAL INC COM COM 289K 649 –
SALESFORCE COM COM 218K 846 –
SCH FND US LG ETF SCHWAB FDT US LG 540K 8K –
SCHLUMBERGER LTD COM STK COM STK 247K 5K –
SPDR PORTFOLIO S&P 500 GROWTH ETF PRTFLO S&P500 GW 8M 104K –
SPDR S&P 400 MID CAP GROWTH ETF S&P 400 MDCP GRW 382K 368K –
SPDR S&P 500 ETF TRUST TR UNIT 21M 38K –
SPDR S&P 600 SMALL CAP VALUE ETF S&P 600 SMCP VAL 305K 4K –
SPDR S&P MIDCAP 400 ETF TRUST UTSER1 S&PDCRP 14M 26K –
SPDR SER TR S&P DIVID ETF S&P DIVID ETF 8M 67K –
STARBUCKS CORP COM 384K 5K –
SYNOPSYS INC COM COM 234K 394 –
TECHNOLOGY & TELECOM ACQ CORP CLASS A ORD SHS CLASS A ORD SHS 121K 10K –
TESLA MOTORS INC COM 554K 3K –
THERMO FISHER SCIENTIFIC INC COM COM 263K 475 –
TJX COS INC NEW COM COM 286K 3K –
TRANSUNION COM COM 201K 3K –
UNITEDHEALTH GROUP COM 608K 1K –
URGENTLY INC COM COM 37K 22K –
VANGUARD CONSUMER STAPLES ETF CONSUM STP ETF 2M 792K –
VANGUARD DIVIDEND APPRECIATION ETF DIV APP ETF 2M 13K –
VANGUARD FTSE DEVELOPED MARKETS ETF FTSE DEV MKT ETF 886K 18K –
VANGUARD FTSE EMERGING MARKETS ETF FTSE EMR MKT ETF 368K 8K –
VANGUARD GROWTH ETF GROWTH ETF 9M 945K –
VANGUARD HIGH DIVIDEND YIELD HIGH DIV YLD 41M 2M –
VANGUARD INDEX FDS MID-CAP VALUE INDEX VIPER SHS ETF MCAP VL IDXVIP 1M 788K –
VANGUARD INFORMATION TECHNOLOGY INF TECH ETF 889K 2K –
VANGUARD LARGE CAP LARGE CAP ETF 1M 5K –
VANGUARD MEGA CAP GROWTH ETF MEGA GRWTH IND 1M 4K –
VANGUARD RUSSELL 2000 ETF VNG RUS2000IDX 394K 5K –
VANGUARD S&P 500 ETF S&P 500 ETF SH 3M 6K –
VANGUARD S&P SMALL-CAP 600 ETF SMLLCP 600 IDX 591K 6K –
VANGUARD SMALL CAP ETF SMALL CP ETF 1M 6K –
VANGUARD TOTAL INTERNATIONAL STOCK ETF VG TL INTL STK F 3M 3M –
VANGUARD TOTAL STK MKT TOTAL STK MKT 54M 6M –
VANGUARD VALUE ETF VALUE ETF 18M 944K –
VISA INC COM CL A 894K 3K –
WALMART INC COM COM 463K 7K –