Paladin research report for:

WealthSpring

Key Contact: Ted Athans

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I. Snapshot

A. Key Contact Name
  • Ted Athans
  • Telephone: (888) 491-4410
B. Combined Credentials of Key Professionals
  • Number of Firm Professionals: 4
    Average Years of Experience: 28
    Combined Degrees: 5
    Certifications: 6
    Years of Experience: 16
C. Firm Record of Compliance
  • No Disclosures
D. Assets Under Management & Advisement
  • $220,578,283
E. Minimum Asset Requirement
  • $100,000
F. Types of Client Relationships
  • Traditional
  • Virtual

II. Contact Information

A. Key Contact
  • Same as advisor
B. Main Location
  • Riverside, California, 92507
C. Additional Locations
  • Long Beach, California
  • Irvine, California
  • Chino, California
  • San Luis Obispo, California

III. Internet

B. Social Connections
C. View Articles

IV. Firm(s)

A. Name of Firm
  • WealthSpring
B. Name of Registered Investment Advisor
  • Commonwealth Financial Network®
C. Name of Broker/Dealer
  • Commonwealth Financial Network®

V. Professionals

A. Professionals

VI. Firm Registration, Licensing, Compliance

A. Firm Registration (Advice & Services for Fees)
  • IAR
B. Type of RIA Registration
  • SEC
C. Firm Licenses (Commission Products)
  • Securities: Yes
  • Insurance: Yes
D. Firm Registration & License Numbers
  • CRD: 3164104
  • IARD: None
  • Insurance: 0C52870
E. Firm State Licensing
  • Financial Advice, Services for Fees: See List
  • Investment Products for Commission: See List
  • Insurance Products for Commission: See List
F. Financial Fiduciary (Advice & Services for Fees)
  • Yes
G. Firm Record of Compliance
  • FINRA.org: No Disclosures
  • SEC.gov: No Disclosures
  • State Securities: No Disclosures
  • State Insurance: No Disclosures
H. Additional Disclosure(s)
  • The Financial Professionals of WealthSpring are Registered Representatives and Investment Adviser Representatives with/and offer securities and advisory services through Commonwealth Financial Network® Member FINRA/SIPC, a... View More
    The Financial Professionals of WealthSpring are Registered Representatives and Investment Adviser Representatives with/and offer securities and advisory services through Commonwealth Financial Network® Member FINRA/SIPC, a Registered Investment Adviser. Fixed lnsurance products and services offered through WealthSpring or CES Insurance Agency.
I. View Firm ADV
  • Available Upon Request
J. Links to Regulatory Agencies and Associations
K. Comments
  • Five stars indicate a financial advisor scored in the 90th percentile or higher when Paladin evaluated the professional's credentials, ethics, and business practices. Advisors must achieve a five star quality to be profiled in Paladin's Registry. Some advisors who are listed in the Registry have more education, experience, and certifications than other advisors. Registry profiles display data that are submitted to Paladin by advisors, however Paladin does not validate the accuracy of all of the data. Investors are solely responsible for validating the accuracy of advisor data before making their selection decision. A five star quality rating is not an indicator of future results.

VII. Business Data & Practices

A. Firm Business Philosophy
B. Minimum Asset Requirement
  • $100,000
C. Number of Current Clients
  • 577
D. Assets (Management, Advisement)
  • $220,578,283
E. Methods of Compensation
  • Hourly Fee
  • Fixed Fee
  • Asset-Based Fee
  • Commissions (Investment Products)
F. Methods of Communication
  • Face-to-Face Meetings
  • Telephone
  • Email
G. Types of Reports (Frequency)
  • Performance (Quarterly)
  • Brokerage Statement (Monthly)
  • Market Environment (Quarterly)
  • Newsletters (Monthly)
H. Value Statement
  • Not Available

VIII. Clients & Services

A. Types of Firm Clients
  • Individuals & Couples (Working)
  • Individuals & Couples (Retired)
  • Business (Taxable)
B. Types of Financial Services
  • Planning Advice & Services
  • Investment Advice & Services
  • Insurance Products
C. Discretionary Asset Management
  • Yes
D. Limited Engagement Services
  • Planning Only
  • Financial Plan Reviews
  • Investment Portfolio Reviews
E. Custodian(s)
  • National Financial Services
  • Pershing
F. Comments
  • This communication is strictly intended for individuals residing in the states of AK, AZ, CA, CO, CT, FL, GA, HI, IA, ID, KS, LA, MA, MN, MO, ND, NJ, NM, NV, NY, OH, OK, OR, PA, SC, SD, TX, UT, WA, WI. No offers may be made or accepted from any resident outside these states due to various state requirements and registration requirements regarding investment products and services. Securities and advisory services offered through Commonwealth Financial Network®, www.FINRA.org/www.SIPC.org, a Registered Investment Adviser. Please review our Terms of Use at www.commonwealth.com/termsofuse.html

IX. Certification

Firm Name
  • WealthSpring
Most Recent Update:
  • Feb 7, 2017

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