Wiseman Wealth, Llc
- Regulatory AUM
- $70.6M
- Discretionary
- $70.6M
- Clients
- 210
- Avg AUM / client
- $336K
- Accounts
- 210
- Employees
- 3
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 24, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 191 | $26.8M | 38.0% |
| High net worth individuals | 16 | $40.4M | 57.2% |
| Charitable organizations | 3 | $3.4M | 4.83% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Thomas Reid Wiseman | Principal | Dec 1994 (32y) | ≈ 56.25% – 100% via Wiseman And Associates Financial Services, Ltd | |
| Lucy Zimmerman | Chief Compliance Officer | CFP | Feb 2020 (7y) | Less than 5% |
| Joseph Tate Constantino | Registered representative | Oct 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Wiseman And Associates Financial Services, Ltd | Owner | Oct 2013 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Thomas Reid Wiseman: 75% – 100% of Wiseman And Associates Financial Services, Ltd × 75% – 100% direct ≈ 56.25% – 100% 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 | 1.02 MB | 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
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- LPL Financial $70.6M (100% of AUM) Mar 2026
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) ↗