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WELLINGTON-ALTUS USA INC.

WINNIPEG, MANITOBA, Canada · CRD 297314 · IAPD ↗ · 888-315-8729

$146.2MRegulatory AUM
59Advisory reps
59Employees
0Clients
n/aPlanning clients
0Private funds
12States
0Disclosures
foreignSegment
ApprovedSEC status

Filing changes

14
March 2026 — WELLINGTON-ALTUS USA INC. notice-filed in AZ, OH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
20
March 2026 — WELLINGTON-ALTUS USA INC. shrank from 69 to 58 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
35
March 2026 — WELLINGTON-ALTUS USA INC. now reports custody of client assets ($16.7M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
14
December 2025 — WELLINGTON-ALTUS USA INC. notice-filed in NE, TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
12
August 2025 — WELLINGTON-ALTUS USA INC. notice-filed in LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
12
March 2025 — WELLINGTON-ALTUS USA INC. notice-filed in AK.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
35
March 2025 — WELLINGTON-ALTUS USA INC. reported RAUM up 51% ($84.1M -> $126.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
50
March 2025 — WELLINGTON-ALTUS USA INC. grew from 48 to 69 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
16
April 2024 — WELLINGTON-ALTUS USA INC. notice-filed in CO, MI, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
40
April 2024 — WELLINGTON-ALTUS USA INC. reported RAUM up 136% ($35.6M -> $84.1M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
49
April 2024 — WELLINGTON-ALTUS USA INC. grew from 34 to 48 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.