Wellspring Financial Advisors, LLC (Cleveland)


Wellspring Financial Advisors, LLC is a large advisory firm based in Cleveland. It manages $1.43 billion of regulatory assets for 804 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of California, Florida, Louisiana, and 3 other states.

Wellspring Financial Advisors provides financial planning services, portfolio management for individuals and small businesses, selection of other advisers, and tax planning and compliance. It prepares financial plans for more than 50 clients. On top of advisory services, the firm also engages as financial advisors.

Wellspring Financial Advisors: assets under management

The assets under management (AUM) of Wellspring Financial Advisors, LLC is $1.43 billion. The firm's AUM has grown by 150% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $276.71 million in discretionary accounts and $1.16 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.03 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $2.16 million.
Wellspring Financial Advisors has custody of $61.2 million in cash and securities for 16 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 66% of the total AUM. The second-largest asset type is state and local bonds, which make up 19% of the firm’s portfolio. Investments in exchange traded securities form 9% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Wellspring Financial Advisors, LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Donna Lynne Thrane serves?

The firm provides services to individuals, charitable organizations, and high net worth individuals. The largest group of clients of Donna Lynne Thrane is high net worth individuals with 80 clients and $1.37 billion of assets under management. Among the 5 most similar advisory firms, Wellspring Financial Advisors has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $1.43 billion for 96 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Wellspring Financial Advisors doesn't advise any private funds.

Careers at Wellspring Financial Advisors, LLC

The company employs 19 people that are either part- or full-time employees. 37 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Donna Lynne Thrane has been acting as President since 1 Jan 2008. Richard Joseph Turgeon joined the executive team most recently as the Director.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Michael Thomas Novak Managing director 1 Jan 2007 50% - 75% 4343549
Laura Ann Capuozzo Chief compliance officer 1 Jan 2007 Other 5293780
Donna Lynne Thrane Senior manager 1 Jan 2007 Other 4716722
Anthony Aveni Director 1 Feb 2007 Other 4359085
Donna Lynne Thrane Director 1 Jan 2008 Other 4716722
Richard C. Hyde Director 1 Jan 2008 Other 5655386
Hedwig Teresa Demsey Director 1 Jan 2009 Other 4356444
Richard Joseph Turgeon Director 1 Apr 2016 Other 2309831

Based in Cleveland

The principal office where Wellspring Financial Advisors, LLC performs its advisory services is located at 5885 Landerbrook Drive, Cleveland, OH 44124, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 216-367-0680 or by fax 216-367-0690. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at wellspringadvisorsllc.com.