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WELLINGTON WEALTH STRATEGIES, LLC

INDIANAPOLIS, IN · CRD 306298 · IAPD ↗ · twealth.com · 317-789-8800

$145.6MRegulatory AUM
8Advisory reps
10Employees
0Clients
251-500Planning clients
0Private funds
0States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
February 2026 — WELLINGTON WEALTH STRATEGIES, LLC (INDIANAPOLIS, IN) left the SEC roster (was $145.6M RAUM, 8 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
45
April 2025 — WELLINGTON WEALTH STRATEGIES, LLC reported RAUM down 50% ($289.6M -> $145.6M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
50
April 2025 — WELLINGTON WEALTH STRATEGIES, LLC shrank from 15 to 8 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
73
September 2024 — WELLINGTON WEALTH STRATEGIES, LLC now reports 1 private fund(s) ($10.0M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
68
April 2024 — WELLINGTON WEALTH STRATEGIES, LLC now reports custody of client assets ($50.8M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
73
April 2024 — WELLINGTON WEALTH STRATEGIES, LLC reported RAUM up 175% ($101.6M -> $279.6M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
76
April 2024 — WELLINGTON WEALTH STRATEGIES, LLC grew from 7 to 15 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.