Asset manager · Aliso Viejo, CA
Wealthspire Retirement Advisory
Wealthspire Retirement, LLC · SEC-registered investment adviser · CRD 121254 · SEC 801-66107
At a glance
Wealthspire Retirement Advisory is an SEC-registered investment adviser based in Aliso Viejo, California, with $38.6 billion in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is pension and profit sharing plans, and it reports 6,137 individual clients. By Form ADV it is a asset manager, ranked 252nd of 3,218 asset managers and 537th of 17,210 SEC-registered advisers by assets.
Main office 949-460-9898wealthspire.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $39B
- Rank among asset managers
- #252 of 3,218
- Rank among all SEC RIAs
- #537 of 17,210
- Rank in California
- #62 of 1,873
- Individual clients
- 6,137
- High-net-worth clients
- 768
- Accounts
- 7,532
- Discretionary
- 100% of AUM
- Employees
- 244
- Advisory staff
- 139
- Offices
- 51
Owners and executives on its Form ADV
- Joel B. ShapiroHead of Retirement Strategy and Erisa
- Brett R. SchneiderDirector - Wealthspire
- Veronica E. MooDirector - Wealthspire
- Kameron A. JonesSenior Vice President - Wealthspire Retirement
- Solomon StewartSenior Vice President - Wealthspire Retirement
- Geoffrey V. KeelingChief Investment Officer - Wealthspire Retirement
- Hannah R. DowlingAssistant Vice President - Wealthspire Retirement
- Brian J YuChief Compliance Officer - Wealthspire Retirement
- Justin L. GoldsteinSenior Vice President - Wealthspire Retirement
- Carl E. NelsonPresident - Wealthspire
- Michael E. GossDirector - Wealthspire
- Michael A. LamenaChief Executive Officer - Wealthspire
Custody and brokerage
Broker-dealer
Hybrid RIA
Wealthspire Retirement Advisory is a hybrid RIA: 17 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Kestra Investment Services, an unaffiliated broker-dealer, as the broker-dealer its advisers are registered with.
vities and Affiliations Brokerage Affiliations Some of the Adviser's IARs are registered representatives of Kestra Investment Services LLC (“KIS”), a third-party broker-dealer, and may suggest that clients execute transactions through KIS.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 1,395 | $36B | 94% |
| High-net-worth individuals | 768 | $1.7B | 4% |
| Individuals | 5,369 | $779M | 2% |
Disciplinary disclosures
Wealthspire Retirement Advisory reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗wealthspire.com ↗Wealthspire Retirement Advisory news and profile →
AtlasMembers
The full record on Wealthspire Retirement Advisory
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 330 peers of its type and size
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- Owners and executives, with titles and stakes
- 15 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 7Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Wealthspire Retirement Advisory manage?
Wealthspire Retirement Advisory reports $38.6 billion in regulatory assets under management across 7,532 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Wealthspire Retirement Advisory?
Wealthspire Retirement Advisory is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Wealthspire Retirement Advisory’s clients?
By assets, its largest client types are pension and profit sharing plans ($36.1 billion, 1,395 clients); high-net-worth individuals ($1.7 billion, 768 clients); individuals ($779 million, 5,369 clients).
Does Wealthspire Retirement Advisory have any disciplinary history?
Wealthspire Retirement Advisory reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Wealthspire Retirement Advisory’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →