{"url":"https://nivawealth.com/firms/fiduciary-first-150330","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/150330","regulatoryAum":2461767783,"crd":"150330","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4475056","suffix":null,"lastName":"HAYES","firstName":"JAMIE","middleName":"ANN"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-31","regulatoryAum":3395815206,"clients":78,"employees":8,"offices":2},{"filedOn":"2022-03-30","regulatoryAum":3868052294,"clients":99,"employees":8,"offices":2},{"filedOn":"2023-03-30","regulatoryAum":2773020274,"clients":74,"employees":8,"offices":2},{"filedOn":"2024-05-28","regulatoryAum":3307577140,"clients":38,"employees":4,"offices":2},{"filedOn":"2025-03-27","regulatoryAum":5178849217,"clients":32,"employees":4,"offices":2},{"filedOn":"2026-03-26","regulatoryAum":2461767783,"clients":27,"employees":7,"offices":2}],"secFileNumber":"801-72234","legalName":"Fiduciary First, LLC","displayName":"Fiduciary First","slug":"fiduciary-first-150330","website":null,"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"founded":null,"organization":"Florida limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1060 Maitland Center Commons, Suite 360","city":"Maitland","state":"FL","stateName":"Florida","country":"United States","postalCode":"32751"},"tradeNames":["Wealthspire Retirement Advisory"],"registration":{"secApproved":"7 April 2011","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":7,"advisory":7,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":2461767783,"discretionary":2461767783,"discretionaryAccounts":42,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Pension and profit-sharing plans","clients":27,"regulatoryAum":2461767783}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Fiduciary First does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Michael Lamena","title":"Chief Executive Officer - Wealthspire","crd":"2797064"},{"name":"Hannah Dowling","title":"Assistant Vice President - Wealthspire Retirement","crd":"7745911"},{"name":"Carl Nelson","title":"President - Wealthspire","crd":"2243802"},{"name":"Joel Shapiro","title":"President - Wealthspire Retirement","crd":"5104448"},{"name":"Brian Yu","title":"Chief Compliance Officer - Wealthspire Retirement","crd":"5325544"},{"name":"Michael Goss","title":"Director - Wealthspire","crd":"2557044"},{"name":"Robert Hilzenrath","title":"Director - Wealthspire","crd":"1869935"},{"name":"Veronica Moo","title":"Director - Wealthspire","crd":"5867442"},{"name":"Brett Schneider","title":"Director - Wealthspire","crd":"5636953"}],"ownership":[{"label":"Wealthspire Retirement, LLC","detail":"Shareholder in the 75% or more ownership band and a control person, since October 2025."},{"label":"Wealthspire, LP","detail":"Indirect owner: a owner of Wealthspire US Parent, LLC in the 75% or more band and a control person, since October 2025.","parent":"Wealthspire US Parent, LLC"},{"label":"Wealthspire II, LP","detail":"Indirect owner: a owner of Wealthspire, LP in the 75% or more band and a control person, since October 2025.","parent":"Wealthspire, LP"},{"label":"Wealthspire I, LP","detail":"Indirect owner: a owner of Wealthspire II, LP in the 75% or more band and a control person, since October 2025.","parent":"Wealthspire II, LP"},{"label":"Wealthspire Topco, LP","detail":"Indirect owner: a owner of Wealthspire I, LP in the 75% or more band and a control person, since October 2025.","parent":"Wealthspire I, LP"},{"label":"Wealthspire Holdco, LP","detail":"Indirect owner: a owner of Wealthspire Topco, LP in the 75% or more band and a control person, since October 2025.","parent":"Wealthspire Topco, LP"},{"label":"Wealthspire GP LLC","detail":"Indirect owner: general partner of Wealthspire Holdco, LP and a control person, since October 2025.","parent":"Wealthspire Holdco, LP"},{"label":"MDCP Co-Investors (Chicago-C), L.P.","detail":"Indirect owner: a owner of Wealthspire GP LLC in the 25% to 50% band and a control person, since October 2025.","parent":"Wealthspire GP LLC"},{"label":"Wealthspire US Parent, LLC","detail":"Indirect owner: a owner of Wealthspire Retirement, LLC in the 75% or more band and a control person, since October 2025.","parent":"Wealthspire Retirement, LLC"},{"label":"MDCP IX Chicago Splitter Aggregator, L.P.","detail":"Indirect owner: a owner of Wealthspire Holdco, LP in the 75% or more band and a control person, since October 2025.","parent":"Wealthspire Holdco, LP"},{"label":"Madison Dearborn Partners","detail":"Indirect owner: general partner of MDCP Co-Investors (Chicago-C), L.P. and a control person, since October 2025.","parent":"MDCP Co-Investors (Chicago-C), L.P."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"120 Vantis","city":"Aliso Viejo"}]},{"state":"Florida","offices":1,"addresses":[{"street":"1060 Maitland Center Commons, Suite 360","city":"Maitland","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"407-740-6111","stateRegisteredReps":7,"otherAdviserReps":7,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Other"],"activities":["Pension consulting services"],"financialPlanningClients":"0","assetMix":[{"label":"Securities issued by registered investment companies or business development companies","percent":100}],"privateFunds":0},"sources":{"adv1FilingDate":"26 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/150330/PDF/150330.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Fiduciary First have?","answer":"Fiduciary First has 27 clients and manages $2.46 billion for them, as of March 2026. They include 27 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Fiduciary First offer?","answer":"Fiduciary First provides pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Fiduciary First have?","answer":"Fiduciary First has 7 investment adviser representatives registered with state securities authorities, out of 7 employees, and 7 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Fiduciary First invest in?","answer":"At the end of its last fiscal year, Fiduciary First’s separately managed accounts held 100% registered funds (mutual funds, ETFs, BDCs).","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Fiduciary First?","answer":"Fiduciary First is owned through a chain of holding companies by MDCP IX Chicago Splitter Aggregator, L.P. Its direct owner is Wealthspire Retirement, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Fiduciary First get paid?","answer":"Fiduciary First is paid through a percentage of assets under management, hourly charges, fixed fees and other compensation. 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Fiduciary First?","answer":"Fiduciary First’s main office is at 1060 Maitland Center Commons, Suite 360, Maitland, FL 32751. Its phone number is 407-740-6111.","source":"Form ADV Part 1A, Item 1.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}