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Wealthspire Retirement

SEC-registered adviser since 2006Aliso Viejo, CACRD 121254

$38.6B
AUM
7,532
Clients
See fees
Fee
139
Advisory staff

From Form ADV filed 31 March 2026 · data retrieved 15 October 2026SEC record

Wealthspire Retirement is an investment adviser headquartered in Aliso Viejo, California, and registered with the SEC since 2006. Its clients include pension and profit-sharing plans, high-net-worth individuals, and other individuals. High-net-worth individuals account for 4% of its regulatory assets under management.

Its services include financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers. Fee arrangements include a percentage of assets under management, hourly charges and fixed fees. Wealthspire US Parent, LLC owns 75% or more of Wealthspire Retirement, and Michael Lamena is its CEO.

Clients

Wealthspire Retirement serves 7,532 clients, 768 of them high-net-worth individuals. The average client has about $5.1 million with the firm, and high-net-worth clients hold 4% of its $38.6 billion in assets.

Regulatory assets by client type
  • Individuals5,369 clients2%
  • High-net-worth individuals768 clients4%
  • Pension and profit-sharing plans1,395 clients94%
Show client breakdown
Individuals (other than HNW)
Clients
5,369
Regulatory AUM
$779,313,818
Share
2.0%
Avg. per client
$145K
High-net-worth individuals
Clients
768
Regulatory AUM
$1,682,110,604
Share
4.4%
Avg. per client
$2.19M
Pension and profit-sharing plans
Clients
1,395
Regulatory AUM
$36,148,016,087
Share
93.6%
Avg. per client
$25.9M

Total

Clients
7,532
Regulatory AUM
$38,609,440,509
Share
100%
Avg. per client
$5.13M

What it does

Wealthspire Retirement provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers and other activities. It is paid through a percentage of assets, hourly charges and fixed fees.

Wealthspire Retirement provided financial planning to 6,000 clients last fiscal year and advises no private funds.

100.0% of assets ($38.61B across 7,532 accounts) are managed with discretion. 0% of clients are outside the U.S., and 0 clients received advice without assets under management last fiscal year.

What the accounts hold

Separately managed account assets by class, year end
  • Stocks8%
  • Funds81%
  • Bonds3%
    • U.S. government and agency bonds1%
    • State and local bonds1%
    • Investment grade corporate bonds1%
  • Cash8%

Custodians

Wealthspire Retirement’s client accounts are held mainly at Fidelity, with 3% of managed assets, and Charles Schwab, with 3%. Wealthspire Retirement does not have custody of client assets.

Managed account assets by custodian
  • Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $1.09B3%
  • FidelityFidelity Brokerage Services LLC · Boston, MA · $1.10B3%
  • PershingPershing LLC · Jersey City, NJ · $246.5M1%
  • All other custodians$36.17B94%

Ownership and leadership

Wealthspire US Parent, LLC owns 75% or more of Wealthspire Retirement, and Michael Lamena is its CEO.

Who owns the firm
Wealthspire Retirement, LLC· the adviser

  • Wealthspire US Parent, LLC

    Control person · since October 2025

    Owns 75% or more of Wealthspire Retirement, LLC

Leadership

  • Michael Lamena
    Chief Executive Officer - Wealthspire
  • Hannah Dowling
    Assistant Vice President - Wealthspire Retirement
  • Justin Goldstein
    Senior Vice President - Wealthspire Retirement
  • Kameron Jones
    Senior Vice President - Wealthspire Retirement
  • Carl Nelson
    President - Wealthspire
  • Solomon Stewart
    Senior Vice President - Wealthspire Retirement
  • Lisa Moceri
    Chief Operating Officer - Wealthspire Institutional
  • Brian Yu
    Chief Compliance Officer - Wealthspire Retirement
  • Michael Goss
    Director - Wealthspire
  • Robert Hilzenrath
    Director - Wealthspire
  • Geoffrey Keeling
    Chief Investment Officer - Wealthspire Retirement
  • Brad Long
    Chief Investment Officer - Wealthspire Institutional
  • Veronica Moo
    Director - Wealthspire
  • Brett Schneider
    Director - Wealthspire
  • Joel Shapiro
    Head of Retirement Strategy and Erisa

Staff

  • 244 employees
  • 139 in advisory functions
  • 139 state-registered reps
  • 17 broker-dealer reps
  • 40 insurance agents
  • 42 soliciting firms

Reported holdings

Wealthspire Retirement’s reported 13F holdings total $1.82B across 321 positions, and the ten largest make up 45.4% of it.

$1.82B
Reported 13F value
321
Positions
45.4%
In the 10 largest
+9.4%
Value vs. prior quarter
Ten largest positions, share of reported value
  1. iShares TR · Core S&P500 ETF16.2%
  2. iShares TR · Trust Ishare 0-18.9%
  3. iShares TR · Core MSCI Intl3.8%
  4. Fidelity Comwlth TR · Nasdaq Compsit2.6%
  5. iShares TR · Ishs 5-10yr Invt2.5%
  6. Vanguard Scottsdale Fds · Vng Rus1000grw2.5%
  7. iShares TR · Core US Aggbd ET2.4%
  8. SPDR Series Trust · ST Str P500etf2.3%
  9. Vanguard Tax-managed Fds · Van FTSE Dev Mkt2.2%
  10. Invesco Qqq TR · Unit Ser 12.1%

Together, the ten largest are 45.4% of reported value.

The 50 largest positions and quarterly changesQuarter ended 30 June 2026 · filed 12 August 2026

A 13F covers only exchange-traded long positions the firm holds with discretion, so this $1.82B is not its $38.61B in regulatory assets and does not represent any individual client's portfolio.

Fees

Wealthspire Retirement is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees).

Wealthspire Retirement’s fee rates are not included in this profile. Find its brochure on the SEC’s site.

Offices and registrations

Besides its headquarters, Wealthspire Retirement has 50 offices (3 private residences, listed without an address), with 23 listed addresses across 18 states.

Listed office addresses by state

California · 2 listed addresses

  • 120 Vantis, Suite 400, Aliso ViejoHQ
  • 2049 Century PK E, Los Angeles

Other business names

Wealthspire Retirement has reported 4 other business names to the SEC.

  • Fiduciary First, LLC
  • NFP
  • SST Benefits and Consulting Services LLC
  • Wealthspire Retirement Advisory

Registration details

Legal name
Wealthspire Retirement, LLC
Headquarters
120 Vantis, Suite 400, Aliso Viejo, CA 92656
Phone
949-460-9898
Website
www.wealthspire.com
SEC file
801-66107
Structure
California LLC
Fiscal year end
December

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. See this firm's record on adviserinfo.sec.gov

Common questions

How many clients does Wealthspire Retirement have?

Wealthspire Retirement has 7,532 clients and manages $38.6 billion for them, as of March 2026. They include 5,369 other individuals, 1,395 pension and profit-sharing plans and 768 high-net-worth individuals.

Source: Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026

What services does Wealthspire Retirement offer?

Wealthspire Retirement provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers and other activities.

Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file

Which custodians does Wealthspire Retirement use?

Wealthspire Retirement’s separately managed account assets are held at Fidelity Brokerage Services LLC (Boston, MA), with $1,103,441,439, Charles Schwab & Co., Inc. (San Francisco, CA), with $1,089,501,585 and Pershing LLC (Jersey City, NJ), with $246,453,897. Only custodians holding at least a tenth of those assets are named.

Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026

How many financial advisors does Wealthspire Retirement have?

Wealthspire Retirement has 139 investment adviser representatives registered with state securities authorities, out of 244 employees, and 139 perform investment advisory functions. 17 are registered representatives of a broker-dealer and 40 are 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 Wealthspire Retirement invest in?

At the end of its last fiscal year, Wealthspire Retirement’s separately managed accounts held 81% registered funds (mutual funds, ETFs, BDCs), 8% exchange-traded equities, 8% cash and equivalents, 1% U.S. government and agency bonds, 1% state and local bonds and 1% investment grade corporate bonds. It advises no private funds of its own.

Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file

Who owns Wealthspire Retirement?

Wealthspire Retirement is owned through a chain of holding companies by MDCP IX Chicago Splitter Aggregator, L.P. Its direct owner is Wealthspire US Parent, LLC (75% or more).

Source: Form ADV Part 1A, Schedules A and B, filed 31 March 2026

How does Wealthspire Retirement get paid?

Wealthspire Retirement 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

Sources

  1. Form ADV Part 1A, amendment filed 31 March 2026. Items 1, 5, 9, 11 and Schedules A, B and D.
  2. IAPD firm record, CRD 121254.
  3. Form 13F-HR, filed 12 August 2026 for the quarter ended 30 June 2026.

Retrieved 15 October 2026. All are published by the SEC and may have been amended since.

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This profile is compiled from public regulatory filings and is provided for informational purposes only. Niva Wealth is not affiliated with Wealthspire Retirement, LLC and makes no representation about the quality of its services. Figures reflect the filing dates shown and may have changed. Ownership percentages are the bands reported to the SEC, not exact figures.