Opes Wealth Management, Llc
- Regulatory AUM
- $822M
- Discretionary
- $822M
- Clients
- 420
- Avg AUM / client
- $2.0M
- Accounts
- 420
- Employees
- 8
AUM over time
Annual snapshots from Form ADV filings · as of May 05, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 204 | $86.8M | 10.6% |
| High net worth individuals | 215 | $730M | 88.8% |
| Corporations and other businesses | 1 | $5.2M | 0.64% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| United Airlines Pilot Retirement Account Plan United Airlines, Inc. | 2024 |
People (15)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Erin Michael Whalen | Co President | Nov 2018 (8y) | 25% – 50% | |
| Mark Townsend Duvall | Co President | CFA | Nov 2018 (8y) | 25% – 50% |
| Tracie Lynne Southerland | Wealth Advisor | Dec 2018 (8y) | 5% – 10% | |
| Louis Lawrence Odette | Chief Investment Officer | CFA | Jan 2021 (6y) | 5% – 10% |
| Nolan Eric Solano | Registered representative | Jan 2019 (8y) | ||
| Theodore Rossi | Registered representative | Feb 2019 (7y) | ||
| Nicola Revel James | Registered representative | Feb 2019 (7y) | ||
| Ann Robinson Timoney | Registered representative | CFP | Feb 2019 (7y) | |
| Jeffrey Taylor Smith | Registered representative | Apr 2019 (7y) | ||
| Michael Joseph Gallagher | Registered representative | May 2022 (4y) | ||
| Kenji Bleicker | Registered representative | CFP | Feb 2023 (4y) | |
| David Adair Savage | Registered representative | Jul 2023 (3y) | ||
| Hwangmin Ki | Registered representative | Mar 2025 (1y) | ||
| Lyla Kristina Andrea Bonilla | Registered representative | Aug 2025 (1y) | ||
| Calvin Sinclair Webster | Registered representative | Oct 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Miguel, Unesa | Chief Compliance Officer | Mar 2019 | A | Less than 5% |
Undisclosed: 0% – 40% of the firm is not attributable from the filed Schedule A bands.
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.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| United Airlines Pilot Retirement Account Plan | United Airlines, Inc. | 17,444 | $16.8B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/05/2026 | 1.01 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $822M (100% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: May 05, 2026.
View current Form ADV (SEC/IAPD) ↗