And Wealth Partners provides financial planning, portfolio management for individuals and small businesses, and selecting other managers. Financial planning was provided to 51–100 clients last fiscal year.
And Wealth Partners reports 103 clients. They include 70 high-net-worth individuals, 26 individual clients, and 7 corporations and other businesses. Of its assets, 55.1% ($280M across 222 accounts) are managed with discretion; $228M across 32 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 25% | 1% |
| High-net-worth individuals | 68% | 75% |
| Corporations and other businesses | 7% | 23% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 26 | $7.24M | 1.4% | $279K |
| High-net-worth individuals | 70 | $382M | 75.2% | $5.46M |
| Corporations and other businesses | 7 | $119M | 23.3% | $17M |
| Total | 103 | $508M | 100% | $4.93M |
- Clients
- 26
- Regulatory AUM
- $7.24M
- AUM share
- 1.4%
- Avg. per client
- $279K
- Clients
- 70
- Regulatory AUM
- $382M
- AUM share
- 75.2%
- Avg. per client
- $5.46M
- Clients
- 7
- Regulatory AUM
- $119M
- AUM share
- 23.3%
- Avg. per client
- $17M
Total
- Clients
- 103
- Regulatory AUM
- $508M
- AUM share
- 100%
- Avg. per client
- $4.93M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
And Wealth Partners charges 1.00% a year for its Investment supervisory services. The fee is billed in arrears, is negotiable and has a $10,000 annual minimum. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial planning and consulting
- Financial planning and consulting fees generally range from $10,000 to $500,000 on a fixed fee basis and/or from $300 to $1,000 per hour.
Dorie Fain owns 75% or more of And Wealth Partners. The leadership team of And Wealth Partners includes Chief Compliance Officer Dorie Fain. It has 5 employees, 3 of them in advisory roles.
Leadership
- Dorie FainManaging Member/Chief Compliance Officer
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
Staff
- 5 employees
- 3 in advisory functions
- 3 state-registered reps
- Owns 75% or more of And Wealth Partners, LLC
Dorie Fain
Control person · since March 2009
And Wealth Partners’ regulatory assets grew 1.7× from $296M (May 2021) to $508M (February 2026); clients rose from 81 to 103 and employees from 3 to 5.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| February 2026 | $508M | 103 | 5 | 2 |
| March 2025 | $471M | 110 | 4 | 2 |
| February 2024 | $399M | 104 | 3 | 2 |
| July 2023 | $321M | 94 | 3 | 2 |
| March 2022 | $334M | 85 | 2 | 2 |
| May 2021 | $296M | 81 | 3 | 2 |
Besides its headquarters, And Wealth Partners has 1 office, with 2 listed addresses in Maryland and New York.
Maryland · 1 listed address
- 1629 Thames Street, Suite 300, BaltimoreHQ
New York · 1 listed address
- 401 Park Avenue South, New York
Contact and registration details
- Legal name
- And Wealth Partners, LLC
- Headquarters
- 1629 Thames Street, Suite 300, Baltimore, MD 21231
- Website
- andwealth.com
- Phone
- 410-844-3300
- @&wealth
- SEC file
- 801-69853
- Structure
- New York LLC
- Fiscal year end
- December
And Wealth Partners uses Charles Schwab ($254M, 53%) and J.P. Morgan ($228M, 47%) as custodians for its separately managed accounts. And Wealth Partners has custody of $55.9M in client assets for 34 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Orlando, FL · $254M53%
- J.P. MorganJ.P. Morgan Securities LLC · New York, NY · $228M47%
At year end, And Wealth Partners’ separately managed accounts were largely in stocks (43%) and funds (32%).
What the accounts hold
- Stocks43%
- Funds32%
- Bonds7%
- Cash6%
- Other12%
- Private placements12%
How many clients does And Wealth Partners have?
And Wealth Partners has 103 clients and manages $508 million for them, as of February 2026. They include 70 high-net-worth individuals, 26 individual clients, and 7 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 23 February 2026
What services does And Wealth Partners offer?
And Wealth Partners provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does And Wealth Partners charge?
And Wealth Partners charges 1.00% a year for its Investment supervisory services. The fee is billed in arrears, is negotiable and has a $10,000 annual minimum.
Source: AND WEALTH PARTNERS, LLC BROCHURE, filed 23 February 2026
Which custodians does And Wealth Partners use?
And Wealth Partners’ separately managed account assets are held at Charles Schwab & Co., Inc. (Orlando, FL), with $254M and J.P. Morgan Securities LLC (New York, NY), with $228M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 February 2026
How many financial advisors does And Wealth Partners have?
And Wealth Partners has 3 investment adviser representatives registered with state securities authorities, out of 5 employees, and 3 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does And Wealth Partners invest in?
At the end of its last fiscal year, And Wealth Partners’ separately managed accounts held 43% exchange-traded equities, 32% registered funds (mutual funds, ETFs, BDCs), 12% other, 7% state and local bonds and 6% cash and equivalents. The 12% other category is described as: Private Placements.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns And Wealth Partners?
And Wealth Partners’ direct owner is Dorie Fain (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 23 February 2026
How does And Wealth Partners get paid?
And Wealth Partners is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is And Wealth Partners registered with the SEC?
Yes, And Wealth Partners has been registered with the SEC as an investment adviser since 2 January 2009. Its CRD number is 149136 and its SEC file number is 801-69853.
Source: Form ADV Part 1A, Item 1, filed 23 February 2026; IAPD firm record
How do I contact And Wealth Partners?
And Wealth Partners’ main office is at 1629 Thames Street, Suite 300, Baltimore, MD 21231. Its phone number is 410-844-3300. Its website is andwealth.com.