{"url":"https://nivawealth.com/firms/waystone-advisors-328565","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/328565","regulatoryAum":179345970,"crd":"328565","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5886688","suffix":null,"lastName":"DEAN","firstName":"AUSTIN","middleName":"DOUGLAS"},{"crd":"7891416","suffix":null,"lastName":"DeWhitt","firstName":"Daniel","middleName":"Alan"},{"crd":"4052120","suffix":null,"lastName":"KENNEY","firstName":"CHRISTOPHER","middleName":"D"},{"crd":"7037413","suffix":null,"lastName":"Williamson","firstName":"Nathan","middleName":"Andrew Ossino"}],"total":4,"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":"2024-06-13","regulatoryAum":111019615,"clients":241,"employees":9,"offices":1},{"filedOn":"2025-05-05","regulatoryAum":136129940,"clients":246,"employees":14,"offices":3},{"filedOn":"2026-08-07","regulatoryAum":179345970,"clients":306,"employees":14,"offices":5}],"secFileNumber":"801-129211","legalName":"Waystone Advisors LLC","displayName":"Waystone Advisors","slug":"waystone-advisors-328565","website":"https://waystoneadvisors.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/328565/9aae0533095f729e-r1.webp","tone":"light","width":370,"height":200,"sourceUrl":"https://waystoneadvisors.com","sourceLabel":"Waystone Advisors LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/waystoneadvisorsllc","founded":null,"organization":"Washington limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"15 December 2023","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":590592.2277227723,"staff":{"employees":14,"advisory":4,"brokerDealerReps":0,"insuranceAgents":4,"promoters":0},"aum":{"regulatory":179345970,"discretionary":179345970,"discretionaryAccounts":663,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":258,"regulatoryAum":55705637},{"label":"High-net-worth individuals","clients":45,"regulatoryAum":123243808},{"label":"Charitable organizations","clients":3,"fewerThan5":true,"regulatoryAum":396525}],"feePrograms":[{"role":"main","program":"Investment Management Services","feeBasis":"marginal","fee_tiers":[{"to":1000000,"pct":0.99,"from":0},{"to":4000000,"pct":0.85,"from":1000000},{"to":null,"pct":0.5,"from":4000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1054291","versionId":1054291,"ratePeriod":"annual","fee_billing":"both","submittedOn":"2026-08-07","documentName":"WAYSTONE ADVISORS FORM ADV PART 2A","fee_rate_low":0.5,"fee_rate_high":0.99,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning Services","summary":"Hourly at up to $300 per hour, or a fixed engagement fee based on the expected hours at that rate; fees may be negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1054291","versionId":1054291,"submittedOn":"2026-08-07","documentName":"WAYSTONE ADVISORS FORM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T17:36:28.63677+00:00","documents":[{"name":"WAYSTONE ADVISORS FORM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1054291","versionId":1054291,"submittedOn":"2026-08-07"}]},"custodians":[{"name":"Equity Trust Company","shortName":"Equity Trust","location":"Westlake, OH","smaAssets":35566227}],"custodyNote":"Waystone Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Taylor Parton","title":"Chief Operating Officer","crd":"7731051"},{"name":"Samantha LeGassick","title":"Chief Compliance Officer","crd":"8046488"},{"name":"Austin Dean","title":"Managing Member / CEO","crd":"5886688"}],"ownership":[{"label":"Austin Dean","detail":"Managing member / ceo in the 75% or more ownership band and a control person, since October 2023."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":4,"privateResidences":4},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"425-484-0045","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":27},{"label":"U.S. government/agency bonds","percent":2},{"label":"Investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":50},{"label":"Cash and cash equivalents","percent":2},{"label":"Other","percent":17,"detail":"Alternative Investments - Real Estate and Peer to Peer Lending"}],"privateFunds":0},"sources":{"adv1FilingDate":"7 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/328565/PDF/328565.pdf","brochureDate":"7 August 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1054291","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Waystone Advisors have?","answer":"Waystone Advisors has 306 clients and manages $179 million for them, as of August 2026. They include 258 individual clients, 45 high-net-worth individuals and 3 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 7 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Waystone Advisors offer?","answer":"Waystone Advisors 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Waystone Advisors charge?","answer":"Waystone Advisors charges 0.50%–0.99% a year for its Investment Management Services. Each asset band is charged at its own rate. The fee is billed in advance or in arrears and is negotiable.","source":"WAYSTONE ADVISORS FORM ADV PART 2A, filed 7 August 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Waystone Advisors use?","answer":"Waystone Advisors’ separately managed account assets are held at Equity Trust Company (Westlake, OH), with $35.6M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 7 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Waystone Advisors have?","answer":"Waystone Advisors has 4 investment adviser representatives registered with state securities authorities, out of 14 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 4 employees are licensed insurance agents.","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 Waystone Advisors invest in?","answer":"At the end of its last fiscal year, Waystone Advisors’ separately managed accounts held 50% registered funds (mutual funds, ETFs, BDCs), 27% exchange-traded equities, 17% other, 2% U.S. government and agency bonds, 2% investment grade corporate bonds and 2% cash and equivalents. The 17% other category is described as: Alternative Investments - Real Estate and Peer to Peer Lending.","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 Waystone Advisors?","answer":"Waystone Advisors’ direct owner is Austin Dean (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 7 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Waystone Advisors get paid?","answer":"Waystone Advisors 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Waystone Advisors?","answer":"Its phone number is 425-484-0045. Its website is waystoneadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 7 August 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."}