Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Wealthspire Retirement Advisory
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
WEALTHSPIRE US PARENT, LLCDirect owner · Schedule AInterest in WEALTHSPIRE RETIREMENT ADVISORY
75%+
WEALTHSPIRE, LPIndirect owner · Schedule BInterest in WEALTHSPIRE US PARENT, LLC
75%+
WEALTHSPIRE II, LPIndirect owner · Schedule BInterest in WEALTHSPIRE, LP
75%+
WEALTHSPIRE I, LPIndirect owner · Schedule BInterest in WEALTHSPIRE II, LP
75%+
WEALTHSPIRE TOPCO, LPIndirect owner · Schedule BInterest in WEALTHSPIRE I, LP
75%+
WEALTHSPIRE HOLDCO, LPIndirect owner · Schedule BInterest in WEALTHSPIRE TOPCO, LP
75%+
MDCP IX CHICAGO SPLITTER AGGREGATOR, L.P.Indirect owner · Schedule BInterest in WEALTHSPIRE HOLDCO, LP
75%+
MDCP CO-INVESTORS (CHICAGO-C), L.P.Indirect owner · Schedule BInterest in WEALTHSPIRE GP LLC
25% to < 50%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Wealthspire Retirement Advisory.
Reported ownership and control details
Form ADV · Filing date 2026-03-31 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | JOEL BARRY SHAPIROHEAD OF RETIREMENT STRATEGY AND ERISAIndividual | WEALTHSPIRE RETIREMENT ADVISORY | Less than 5%Code NA | Yes | HEAD OF RETIREMENT STRATEGY AND ERISA02/2026 | Schedule APDF page 47 |
| 2 | WEALTHSPIRE US PARENT, LLCSHAREHOLDERDomestic entity | WEALTHSPIRE RETIREMENT ADVISORY | 75% or moreCode E | Yes | SHAREHOLDER10/2025 | Schedule APDF page 47 |
| 3 | BRETT RONALD SCHNEIDERDIRECTOR - WEALTHSPIREIndividual | WEALTHSPIRE RETIREMENT ADVISORY | Less than 5%Code NA | Yes | DIRECTOR - WEALTHSPIRE10/2025 | Schedule APDF page 47 |
| 4 | VERONICA EI CHUN MOODIRECTOR - WEALTHSPIREIndividual | WEALTHSPIRE RETIREMENT ADVISORY | Less than 5%Code NA | Yes | DIRECTOR - WEALTHSPIRE10/2025 | Schedule APDF page 47 |
| 5 | KAMERON ALEXANDER JONESSENIOR VICE PRESIDENT - WEALTHSPIRE RETIREMENTIndividual | WEALTHSPIRE RETIREMENT ADVISORY | Less than 5%Code NA | Yes | SENIOR VICE PRESIDENT - WEALTHSPIRE RETIREMENT10/2025 | Schedule APDF page 47 |
| 6 | Solomon StewartSENIOR VICE PRESIDENT - WEALTHSPIRE RETIREMENTIndividual | WEALTHSPIRE RETIREMENT ADVISORY | Less than 5%Code NA | Yes | SENIOR VICE PRESIDENT - WEALTHSPIRE RETIREMENT10/2025 | Schedule APDF page 47 |
| 7 | GEOFFREY VINCENT KEELINGCHIEF INVESTMENT OFFICER - WEALTHSPIRE RETIREMENTIndividual | WEALTHSPIRE RETIREMENT ADVISORY | Less than 5%Code NA | Yes | CHIEF INVESTMENT OFFICER - WEALTHSPIRE RETIREMENT10/2025 | Schedule APDF page 47 |
| 8 | HANNAH ROSE DOWLINGASSISTANT VICE PRESIDENT - WEALTHSPIRE RETIREMENTIndividual | WEALTHSPIRE RETIREMENT ADVISORY | Less than 5%Code NA | No | ASSISTANT VICE PRESIDENT - WEALTHSPIRE RETIREMENT10/2025 | Schedule APDF page 47 |
| 9 | BRIAN J YUCHIEF COMPLIANCE OFFICER - WEALTHSPIRE RETIREMENTIndividual | WEALTHSPIRE RETIREMENT ADVISORY | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER - WEALTHSPIRE RETIREMENT10/2025 | Schedule APDF page 47 |
| 10 | JUSTIN LOUIS GOLDSTEINSENIOR VICE PRESIDENT - WEALTHSPIRE RETIREMENTIndividual | WEALTHSPIRE RETIREMENT ADVISORY | Less than 5%Code NA | Yes | SENIOR VICE PRESIDENT - WEALTHSPIRE RETIREMENT10/2025 | Schedule APDF page 47 |
| 11 | CARL EDWARD NELSONPRESIDENT - WEALTHSPIREIndividual | WEALTHSPIRE RETIREMENT ADVISORY | Less than 5%Code NA | Yes | PRESIDENT - WEALTHSPIRE10/2025 | Schedule APDF page 47 |
| 12 | MICHAEL EDMOND GOSSDIRECTOR - WEALTHSPIREIndividual | WEALTHSPIRE RETIREMENT ADVISORY | Less than 5%Code NA | Yes | DIRECTOR - WEALTHSPIRE10/2025 | Schedule APDF page 47 |
| 13 | MICHAEL ANTHONY LAMENACHIEF EXECUTIVE OFFICER - WEALTHSPIREIndividual | WEALTHSPIRE RETIREMENT ADVISORY | Less than 5%Code NA | Yes | CHIEF EXECUTIVE OFFICER - WEALTHSPIRE10/2025 | Schedule APDF page 47 |
| 14 | ROBERT JAY HILZENRATHDIRECTOR - WEALTHSPIREIndividual | WEALTHSPIRE RETIREMENT ADVISORY | Less than 5%Code NA | Yes | DIRECTOR - WEALTHSPIRE10/2025 | Schedule APDF page 47 |
| 15 | Lisa Marie MoceriCHIEF OPERATING OFFICER - WEALTHSPIRE INSTITUTIONALIndividual | WEALTHSPIRE RETIREMENT ADVISORY | Less than 5%Code NA | Yes | CHIEF OPERATING OFFICER - WEALTHSPIRE INSTITUTIONAL02/2026 | Schedule APDF page 47 |
| 16 | BRAD Leighton LONGCHIEF INVESTMENT OFFICER - WEALTHSPIRE INSTITUTIONALIndividual | WEALTHSPIRE RETIREMENT ADVISORY | Less than 5%Code NA | Yes | CHIEF INVESTMENT OFFICER - WEALTHSPIRE INSTITUTIONAL02/2026 | Schedule APDF page 47 |
| 17 | WEALTHSPIRE, LPOWNERDomestic entity | WEALTHSPIRE US PARENT, LLC | 75% or moreCode E | Yes | OWNER10/2025 | Schedule BPDF page 48 |
| 18 | WEALTHSPIRE II, LPOWNERDomestic entity | WEALTHSPIRE, LP | 75% or moreCode E | Yes | OWNER10/2025 | Schedule BPDF page 48 |
| 19 | WEALTHSPIRE I, LPOWNERDomestic entity | WEALTHSPIRE II, LP | 75% or moreCode E | Yes | OWNER10/2025 | Schedule BPDF page 48 |
| 20 | WEALTHSPIRE TOPCO, LPOWNERDomestic entity | WEALTHSPIRE I, LP | 75% or moreCode E | Yes | OWNER10/2025 | Schedule BPDF page 48 |
| 21 | WEALTHSPIRE HOLDCO, LPOWNERDomestic entity | WEALTHSPIRE TOPCO, LP | 75% or moreCode E | Yes | OWNER10/2025 | Schedule BPDF page 48 |
| 22 | WEALTHSPIRE GP LLCGENERAL PARTNERDomestic entity | WEALTHSPIRE HOLDCO, LP | Percentage not specifiedCode F | Yes | GENERAL PARTNER10/2025 | Schedule BPDF page 48 |
| 23 | MDCP CO-INVESTORS (CHICAGO-C), L.P.OWNERDomestic entity | WEALTHSPIRE GP LLC | 25% to less than 50%Code C | Yes | OWNER10/2025 | Schedule BPDF page 48 |
| 24 | MDCP IX CHICAGO SPLITTER AGGREGATOR, L.P.OWNERDomestic entity | WEALTHSPIRE HOLDCO, LP | 75% or moreCode E | Yes | OWNER10/2025 | Schedule BPDF page 48 |
| 25 | MADISON DEARBORN PARTNERSGENERAL PARTNERDomestic entity | MDCP CO-INVESTORS (CHICAGO-C), L.P. | Percentage not specifiedCode F | Yes | GENERAL PARTNER10/2025 | Schedule BPDF page 48 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 3/31/2026 2:09:33 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.