Wealthspire Retirement, Llc
SEC-registered
Institutional / Pension Advisor · Large ($10B–$100B)
CRD 121254
· SEC file 801-66107
· Aliso Viejo, CA
· www.wealthspire.com
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ADV data as of Mar 31, 2026
- Regulatory AUM
- $38.6B
- Discretionary
- $38.6B
- Clients
- 7,532
- Avg AUM / client
- $5.1M
- Accounts
- 7,532
- Employees
- 244
AUM over time
$12.9B
$118B
Dec 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Investments (13F portfolio — 310 positions, $1,666,973,133)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Ishares Tr | CORE S&P500 ETF | $302,549,971 | 463,174 | 18.1% | 0.78% |
| 2 | Ishares Tr | TRUST ISHARE 0-1 | $114,223,923 | 1,034,731 | 6.85% | 0.3% |
| 3 | Ishares Tr | CORE MSCI INTL | $63,738,031 | 762,690 | 3.82% | 0.17% |
| 4 | Ishares Tr | ISHS 5-10YR INVT | $45,947,866 | 863,357 | 2.76% | 0.12% |
| 5 | Ishares Tr | CORE US AGGBD ET | $42,057,761 | 423,670 | 2.52% | 0.11% |
| 6 | Fidelity Comwlth Tr | NASDAQ COMPSIT | $39,756,825 | 468,223 | 2.39% | 0.1% |
| 7 | Vanguard Scottsdale Fds | VNG RUS1000GRW | $37,224,912 | 339,365 | 2.23% | 0.1% |
| 8 | Spdr Series Trust | STATE STREET SPD | $34,737,004 | 453,841 | 2.08% | 0.09% |
| 9 | Vanguard Index Fds | MID CAP ETF | $33,401,571 | 116,309 | 2.0% | 0.09% |
| 10 | Vanguard Index Fds | VALUE ETF | $32,682,174 | 166,576 | 1.96% | 0.08% |
| 11 | Fidelity Merrimack Str Tr | TOTAL BD ETF | $30,919,713 | 677,767 | 1.85% | 0.08% |
| 12 | Invesco Qqq Tr | UNIT SER 1 | $30,010,361 | 51,995 | 1.8% | 0.08% |
| 13 | Ishares Tr | CORE S&P MCP ETF | $28,199,221 | 417,580 | 1.69% | 0.07% |
| 14 | Spdr Series Trust | STATE STREET SPD | $26,827,221 | 892,159 | 1.61% | 0.07% |
| 15 | Schwab Strategic Tr | FUNDAMENTAL US L | $26,590,463 | 954,774 | 1.6% | 0.07% |
| 16 | Vanguard Tax Managed Fds | VAN FTSE DEV MKT | $23,574,186 | 367,887 | 1.41% | 0.06% |
| 17 | Ishares Tr | CORE S&P SCP ETF | $21,824,550 | 175,565 | 1.31% | 0.06% |
| 18 | Tcw Etf Trust | FLEXIBLE INCOME | $21,058,288 | 536,243 | 1.26% | 0.05% |
| 19 | Hartford Fds Exchange Traded | STRATEGIC INCOME | $20,869,465 | 601,079 | 1.25% | 0.05% |
| 20 | Vanguard Index Fds | SMALL CP ETF | $19,394,467 | 74,047 | 1.16% | 0.05% |
| 21 | Ishares Inc | CORE MSCI EMKT | $18,701,320 | 268,119 | 1.12% | 0.05% |
| 22 | Vanguard Scottsdale Fds | SHRT TRM CORP BD | $18,664,160 | 235,450 | 1.12% | 0.05% |
| 23 | Ishares Tr | CORE S&P TTL STK | $17,762,752 | 124,712 | 1.07% | 0.05% |
| 24 | Ishares Tr | 1 3 YR TREAS BD | $17,489,362 | 211,813 | 1.05% | 0.05% |
| 25 | Invesco Exchange Traded Fd T | RAFI US 1500 | $17,141,151 | 373,690 | 1.03% | 0.04% |
Top 25 of 310 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 5,369 | $779M | 2.02% |
| High net worth individuals | 768 | $1.7B | 4.36% |
| Pension and profit sharing plans | 1,395 | $36.1B | 93.6% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| San Luis Ambulance Service, Inc. 401(k) Profit Sharing Plan San Luis Ambulance Service, Inc. | 2024 | |
| Tate Engineering Systems, Inc. Retirement Savings Plan Tate Engineering Systems, Inc. | 2024 |
People (145)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Solomon Stewart | Senior Vice President | CFA | Jun 2014 (12y) | Less than 5% |
| O'malley, Edward, George | Director | Feb 2015 (12y) | Less than 5% | |
| Justin Louis Goldstein | Senior Vice President | Jun 2019 (7y) | Less than 5% | |
| Dowling, Hannah, Rose | Assistant Vice President | May 2023 (3y) | Less than 5% | |
| Geoffrey Vincent Keeling | Chief Investment Officer | CFA | May 2023 (3y) | Less than 5% |
| Kameron Alexander Jones | Senior Vice President | May 2023 (3y) | Less than 5% | |
| Yu, Brian, J | Chief Compliance Officer | Jun 2023 (3y) | Less than 5% | |
| Jessica Bonardi Espinoza | Managing Director | CFA | Nov 2023 (3y) | Less than 5% |
| Michael Ternan Mcguire | Registered representative | Jun 2004 (22y) | ||
| Todd Reid Hoppock | Registered representative | Feb 2006 (20y) | ||
| Susann Kathleen Haas | Registered representative | Mar 2006 (20y) | ||
| Joel Barry Shapiro | Registered representative | Jun 2006 (20y) | ||
| Orlando Jose Torres | Registered representative | Nov 2010 (16y) | ||
| John Lawrence Livingston | Registered representative | CFP | Jan 2012 (15y) | |
| Jill Barry Shea | Registered representative | May 2013 (13y) | ||
| Daniel Joseph Kallus | Registered representative | CFA | Jun 2014 (12y) | |
| Allison Flink | Registered representative | Aug 2014 (12y) | ||
| Vincent Glen Learned | Registered representative | CFP CFA | Jan 2015 (12y) | |
| David Paul Heroux | Registered representative | Jun 2015 (11y) | ||
| Lily Ann Matias | Registered representative | Jul 2015 (11y) | ||
| Elizabeth Ann Mikkelson | Registered representative | Aug 2015 (11y) | ||
| Thomas Brian Bastin | Registered representative | Mar 2016 (10y) | ||
| Peter J Schmitz | Registered representative | CFP CFA | May 2016 (10y) | |
| Bradley Lewis Larsen | Registered representative | Jul 2016 (10y) | ||
| Richard Robert Kruse | Registered representative | Chartered Financial Consultant | Aug 2016 (10y) | |
| Steven L Festler | Registered representative | Aug 2016 (10y) | ||
| Anthony Allen Cardinal | Registered representative | Dec 2016 (10y) | ||
| Barbara Anne Healy | Registered representative | CFP | Jan 2017 (10y) | |
| Marcel James Dupre | Registered representative | Apr 2017 (9y) | ||
| James V Adam | Registered representative | Jan 2018 (9y) | ||
| Steven L Prom | Registered representative | Jan 2018 (9y) | ||
| Peter James Rowley | Registered representative | Jul 2018 (8y) | ||
| John David Roegner | Registered representative | CFP | Aug 2018 (8y) | |
| Jamie Ann Hayes | Registered representative | Dec 2018 (8y) | ||
| Morgan Davis Quigley | Registered representative | Feb 2019 (7y) | ||
| John Kenneth Richards | Registered representative | CFA | Jun 2019 (7y) | |
| Jason Michael Schmudlach | Registered representative | Jun 2019 (7y) | ||
| Clifton William Horner | Registered representative | Jul 2019 (7y) | ||
| Thomas August Heuer | Registered representative | CFA | Jul 2019 (7y) | |
| Corwin Matthew Dickey | Registered representative | Nov 2019 (7y) | ||
| Joseph David Delaney | Registered representative | CFA | Jan 2020 (7y) | |
| Ryan Richard Hamilton | Registered representative | CFA | Mar 2020 (6y) | |
| Carole Browne | Registered representative | Aug 2020 (6y) | ||
| Charles Tyler Brocato | Registered representative | Jan 2021 (6y) | ||
| Durene Lenis Wilhelmi | Registered representative | Jun 2021 (5y) | ||
| Katelyn Whalen | Registered representative | Oct 2021 (5y) | ||
| Brandon Keith Sproles | Registered representative | Dec 2021 (5y) | ||
| Eric Christopher Loyd | Registered representative | CFP | Dec 2021 (5y) | |
| Lisa Conte | Registered representative | Apr 2022 (4y) | ||
| Vardell Jonte Smith | Registered representative | May 2022 (4y) | ||
| Daniel Robert Bystrom | Registered representative | May 2022 (4y) | ||
| Evan M Kassimir | Registered representative | CFP | Jun 2022 (4y) | |
| Matthew Cray Parker | Registered representative | CFP | Jul 2022 (4y) | |
| Nicholas Kent Walker | Registered representative | CFP | Jul 2022 (4y) | |
| April Camp | Registered representative | Sep 2022 (4y) | ||
| Jared Ross Marx | Registered representative | CFA | Nov 2022 (4y) | |
| Randall David Dunn | Registered representative | Jan 2023 (4y) | ||
| Marc Feinberg | Registered representative | Mar 2023 (3y) | ||
| Lindsey Kissel | Registered representative | Apr 2023 (3y) | ||
| Michael Vincent Filachek | Registered representative | Apr 2023 (3y) | ||
| Bradley Christopher Joyner | Registered representative | Apr 2023 (3y) | ||
| Vincenzo Fragomeni | Registered representative | Apr 2023 (3y) | ||
| Robert Barry Hamilton | Registered representative | Apr 2023 (3y) | ||
| Kelly Gallagher Pettit | Registered representative | Apr 2023 (3y) | ||
| Mario Allen Iniguez | Registered representative | Apr 2023 (3y) | ||
| Christopher Allyn Nordlund | Registered representative | May 2023 (3y) | ||
| Zachary Harrison Hull | Registered representative | Jun 2023 (3y) | ||
| Paul Mark Weinberg | Registered representative | Jun 2023 (3y) | ||
| Yarziah Raymond Reeves | Registered representative | Jun 2023 (3y) | ||
| Gary Edward Shuford | Registered representative | Jun 2023 (3y) | ||
| Kristen Mansfield Echols | Registered representative | Aug 2023 (3y) | ||
| Michael Jared Benson | Registered representative | Sep 2023 (3y) | ||
| Ryan Andrew Zelaski | Registered representative | Sep 2023 (3y) | ||
| Alissa Jean Koebler Purko | Registered representative | Oct 2023 (3y) | ||
| Faron Scott Miller | Registered representative | CFP | Oct 2023 (3y) | |
| John Joseph Mc Kenna | Registered representative | Oct 2023 (3y) | ||
| William Ross Karlin | Registered representative | Nov 2023 (3y) | ||
| William Street | Registered representative | Nov 2023 (3y) | ||
| Brielle Renae Parkinson | Registered representative | CFP | Nov 2023 (3y) | |
| Dallin Deloy Griffin | Registered representative | CFP | Nov 2023 (3y) | |
| Easton Jeffrey Dickson | Registered representative | CFP | Nov 2023 (3y) | |
| Geoffrey Clarke Reeves | Registered representative | Nov 2023 (3y) | ||
| Susan Rebecca Bowersox | Registered representative | Chartered Financial Consultant | Nov 2023 (3y) | |
| Brian Craig Samet | Registered representative | Nov 2023 (3y) | ||
| Jacob Gutke | Registered representative | CFP | Nov 2023 (3y) | |
| Rizek Housari | Registered representative | CFP | Nov 2023 (3y) | |
| Kaden Mckell | Registered representative | CFP | Nov 2023 (3y) | |
| Eileen Patricia Mahoney | Registered representative | Nov 2023 (3y) | ||
| Jordan Richard Collins | Registered representative | CFP | Nov 2023 (3y) | |
| Brady Harker Ririe | Registered representative | CFP | Nov 2023 (3y) | |
| Kenneth Walton Jenkins | Registered representative | Dec 2023 (3y) | ||
| Allison O Dea Edmonds | Registered representative | Dec 2023 (3y) | ||
| Michael Dennis Flynn | Registered representative | Dec 2023 (3y) | ||
| Ethan Nesheim | Registered representative | Dec 2023 (3y) | ||
| Michael C Down | Registered representative | Dec 2023 (3y) | ||
| Michael Winston Danzansky | Registered representative | Jan 2024 (3y) | ||
| Daniel John Murray | Registered representative | Jan 2024 (3y) | ||
| Marc Vincent Mcdowell | Registered representative | Feb 2024 (2y) | ||
| Brooks Finnegan | Registered representative | Mar 2024 (2y) | ||
| Jonathan Howard Maertz | Registered representative | Apr 2024 (2y) | ||
| Michael Joseph Dugan | Registered representative | Apr 2024 (2y) | ||
| Sarah Jamie Hodian | Registered representative | Apr 2024 (2y) | ||
| Judd David Berube | Registered representative | Apr 2024 (2y) | ||
| Shamun Cole | Registered representative | Apr 2024 (2y) | ||
| Raymond Nelson Corneau | Registered representative | Apr 2024 (2y) | ||
| James Daniel Hannan | Registered representative | Apr 2024 (2y) | ||
| Denise Eileen Leddy | Registered representative | CFP | Apr 2024 (2y) | |
| Beth B Long | Registered representative | May 2024 (2y) | ||
| Philip Carl Anderson | Registered representative | May 2024 (2y) | ||
| Colombo M Baldini | Registered representative | May 2024 (2y) | ||
| Carina Michelle Gascon | Registered representative | Jun 2024 (2y) | ||
| Deana Angulo Calvelli | Registered representative | Jul 2024 (2y) | ||
| Brian Michael Zito | Registered representative | CFP | Aug 2024 (2y) | |
| Keenan Crosby | Registered representative | Aug 2024 (2y) | ||
| Kristin Kay Jacobson | Registered representative | Aug 2024 (2y) | ||
| Patrick Eugene Flynn | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| Carolina Garcia | Registered representative | Aug 2024 (2y) | ||
| Peter John Marriott | Registered representative | Sep 2024 (2y) | ||
| Emily Hopkins | Registered representative | Nov 2024 (2y) | ||
| Robert Tedesco | Registered representative | Nov 2024 (2y) | ||
| George Mason Williams | Registered representative | Nov 2024 (2y) | ||
| Diana Kalunde Nzau | Registered representative | Dec 2024 (2y) | ||
| Randy Wayne Taylor | Registered representative | Dec 2024 (2y) | ||
| Christopher David Langstaff | Registered representative | CFA | Jan 2025 (2y) | |
| George Elvin Chazulle | Registered representative | Jan 2025 (2y) | ||
| Paula Ann Hendrickson | Registered representative | CFP | Jan 2025 (2y) | |
| Scott Thomas Sledjeski | Registered representative | Jan 2025 (2y) | ||
| Tanner Vincent Felts | Registered representative | Jan 2025 (2y) | ||
| Natalie Ann Meziere | Registered representative | Mar 2025 (1y) | ||
| Jamie April Bond | Registered representative | Apr 2025 (1y) | ||
| Deshon Patrick Robinson | Registered representative | CFP | May 2025 (1y) | |
| Michael John Coakley | Registered representative | CFP | Jun 2025 (1y) | |
| Joshua Jacob Timmerman | Registered representative | Jul 2025 (1y) | ||
| Kelly Pelino | Registered representative | Aug 2025 (1y) | ||
| Daniel Glenn Killea | Registered representative | Oct 2025 (1y) | ||
| Anne M Smertenko | Registered representative | Oct 2025 (1y) | ||
| John Raymond Nelson | Registered representative | Jan 2026 (1y) | ||
| Peter Alexander Snow | Registered representative | CFP | Jan 2026 (1y) | |
| Clarence Leroy Haynes | Registered representative | Apr 2026 (0y) | ||
| Steven Joseph Whitman | Registered representative | Apr 2026 (0y) | ||
| Cynthia Gayle Banks | Registered representative | May 2026 (0y) | ||
| Caroline A Macomber | Registered representative | May 2026 (0y) | ||
| Thomas Smith | Registered representative | Jun 2026 (0y) | ||
| Christian Funicelli | Registered representative | Jul 2026 (0y) | ||
| Nathan Earl Freeman | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Randolph Acquisition Corp. | Owner | Apr 2024 | B | 75% or more of Nfp Intermediate Holdings B. Corp. (indirect) |
| Randolph Finance Unlimited Company | Owner | Apr 2024 | B | 75% or more of Randolph Acquisition Corp. (indirect) |
| Aon, Plc | Owner | Jun 2014 | B | 75% or more of Randolph Finance Unlimited Company (indirect) |
Undisclosed: 60% – 100% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| San Luis Ambulance Service, Inc. 401(k) Profit Sharing Plan | San Luis Ambulance Service, Inc. | 114 | $26.7M | 10/01/2024 |
| Tate Engineering Systems, Inc. Retirement Savings Plan | Tate Engineering Systems, Inc. | 151 | $11.5M | 06/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.68 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Fidelity Brokerage Services $1.1B (3% of AUM) Mar 2026
- Charles Schwab & Co. $1.1B (3% of AUM) Mar 2026
- Pershing $246M (1% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗