Geowealth Management Llc
SEC-registered
Wealth Manager · Large ($10B–$100B)
CRD 148222
· SEC file 801-71114
· Chicago, IL
· twitter.com
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ADV data as of Mar 24, 2026
- Regulatory AUM
- $17.6B
- Discretionary
- $6.8B
- Clients
- 51,018
- Avg AUM / client
- $344K
- Accounts
- 83,125
- Employees
- 88
AUM over time
$210M
$17.6B
Dec 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 24, 2026
Asset allocation (SMA assets by investment type)
as of Mar 24, 2026
Registered investment companies (funds/ETFs)
$12.3B
70%
Exchange-traded equities
$3.3B
19%
State & local bonds
$703M
4%
Cash & equivalents
$703M
4%
Investment-grade corporate bonds
$351M
2%
US government & agency bonds
$176M
1%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 47,696 | $9.7B | 55.3% |
| High net worth individuals | 2,729 | $7.0B | 39.9% |
| Pension and profit sharing plans | 285 | $436M | 2.48% |
| Charitable organizations | 33 | $32.2M | 0.18% |
| Corporations and other businesses | 275 | $390M | 2.22% |
People (21)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Colin James Falls | Ceo | Aug 2013 (13y) | Less than 5% | |
| John M Hannah | President, Chief Operating Officer | Nov 2014 (12y) | Less than 5% | |
| Lieberman, Evan, Cory | Senior Vice President, Chief Compliance Officer | Jan 2024 (3y) | Less than 5% | |
| Riesenberg, Bethany, L. | Senior Vice President, Finance | Jan 2024 (3y) | Less than 5% | |
| Justin E Farmer | Registered representative | Sep 2014 (12y) | ||
| William Alexander Stewart | Registered representative | CFA | Jan 2015 (12y) | |
| Donal Brendan Falls | Registered representative | Jan 2017 (10y) | ||
| Joshua Luke Hagar | Registered representative | Sep 2018 (8y) | ||
| Timothy Douglass Arnold | Registered representative | Jul 2020 (6y) | ||
| Lindsey Brooke Repp | Registered representative | Oct 2022 (4y) | ||
| Jennifer Wing | Registered representative | Jan 2023 (4y) | ||
| Luke Harangody | Registered representative | Apr 2023 (3y) | ||
| Malcolm Ian Mac Killop | Registered representative | May 2024 (2y) | ||
| Robert Dario Gee | Registered representative | CFA | Feb 2025 (1y) | |
| Samuel A Smith | Registered representative | CFA | Sep 2025 (1y) | |
| Joseph J Mooney | Registered representative | Sep 2025 (1y) | ||
| Pamela Sue Nevil | Registered representative | Oct 2025 (1y) | ||
| Michael James Mooney | Registered representative | Oct 2025 (1y) | ||
| Jeff Pietryla | Registered representative | Jan 2026 (1y) | ||
| Charles D Staples | Registered representative | Jan 2026 (1y) | ||
| Karen Louise Garcia | Registered representative | Jan 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Geowealth, Llc | Managing Member | Mar 2018 | A | 75% or more |
| Geowealth Enterprises, Llc | Member | Mar 2018 | B | ≈ 56.25% – 100% via Geowealth, Llc |
| Geowealth Holdings Llc | Member | Dec 2004 | B | ≈ 42.19% – 100% via Geowealth Enterprises, Llc |
| The Globe Resources Group Inc | Member | Dec 2004 | B | ≈ 31.64% – 100% via Geowealth Holdings Llc |
| Montreaux, Inc. | Shareholder | Jul 2000 | B | ≈ 23.73% – 100% via The Globe Resources Group Inc |
| Phoenix Capital Group, Inc. | Shareholder | Jul 2000 | B | ≈ 17.8% – 100% via Montreaux, Inc. |
| L.G. O'shaughnessy Trust, Fbo Gerald E. O'shaughnessy | Shareholder | Jul 2000 | B | ≈ 4.45% – 50% via Phoenix Capital Group, Inc. |
| I.A. O'shaughnessy Trust, Fbo Gerald E. O'shaughnessy | Shareholder | Jul 2000 | B | ≈ 4.45% – 50% via Phoenix Capital Group, Inc. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Geowealth Enterprises, Llc: 75% – 100% of Geowealth, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Geowealth Holdings Llc: 75% – 100% of Geowealth Enterprises, Llc × 75% – 100% of Geowealth, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- The Globe Resources Group Inc: 75% – 100% of Geowealth Holdings Llc × 75% – 100% of Geowealth Enterprises, Llc × 75% – 100% of Geowealth, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Montreaux, Inc.: 75% – 100% of The Globe Resources Group Inc × 75% – 100% of Geowealth Holdings Llc × 75% – 100% of Geowealth Enterprises, Llc × 75% – 100% of Geowealth, Llc × 75% – 100% direct ≈ 23.73% – 100% of the firm
- Phoenix Capital Group, Inc.: 75% – 100% of Montreaux, Inc. × 75% – 100% of The Globe Resources Group Inc × 75% – 100% of Geowealth Holdings Llc × 75% – 100% of Geowealth Enterprises, Llc × 75% – 100% of Geowealth, Llc × 75% – 100% direct ≈ 17.8% – 100% of the firm
- L.G. O'shaughnessy Trust, Fbo Gerald E. O'shaughnessy: 25% – 50% of Phoenix Capital Group, Inc. × 75% – 100% of Montreaux, Inc. × 75% – 100% of The Globe Resources Group Inc × 75% – 100% of Geowealth Holdings Llc × 75% – 100% of Geowealth Enterprises, Llc × 75% – 100% of Geowealth, Llc × 75% – 100% direct ≈ 4.45% – 50% of the firm
- I.A. O'shaughnessy Trust, Fbo Gerald E. O'shaughnessy: 25% – 50% of Phoenix Capital Group, Inc. × 75% – 100% of Montreaux, Inc. × 75% – 100% of The Globe Resources Group Inc × 75% – 100% of Geowealth Holdings Llc × 75% – 100% of Geowealth Enterprises, Llc × 75% – 100% of Geowealth, Llc × 75% – 100% direct ≈ 4.45% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/24/2026 | 960 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $7.7B (44% of AUM) Mar 2026
- National Financial Services (Fidelity) $2.9B (16% of AUM) Mar 2026
- Folio Investments, Inc. $1.3B (11% of AUM) Oct 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 24, 2026.
View current Form ADV (SEC/IAPD) ↗