SourcingSourcing

WEALTH MANAGEMENT SOLUTIONS, LLC

B57
CRD 127517·SEC 801-122994·SCOTTSDALE, AZ
AUM
$172.6M
$100M-$500M
Est. Revenue
$1.7M
@ 1% on AUM
Est. EBITDA
$518K
@ 30% margin
Est. Deal Value
$4.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
WEALTH MANAGEMENT SOLUTIONS, LLC
CRD
127517
SEC file #
801-122994
EIN
475166713
DBA names
Wealth Management Solutions

Economics

AUM
$172.6M
AUM band
$100M-$500M
AUM trajectory
'22'26
$146.6M → $172.6M▲ +18%
Client mix
Individuals High Net Worth53
Individuals Other46

Operations

Employees (total)
4
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'22'26
3 advisors → 2 advisors▼ -33%
Primary office
SCOTTSDALE AZ
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/23/2026
ADV-W filed at
—
Website
nextdoor.com/pages/wealth-management-solutions-scottsdale-az

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
ROSENTHAL, DAVID, SCOTT
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
ROSENTHAL, DAVID, SCOTT
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
NEXTDOOR.COM
Rdap Domain Creation Date
2004-02-11T19:21:04Z
Rdap Firm Age Years
22
Rdap Firm Age Band
20+y
Rdap Registrar
Amazon Registrar, Inc.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001905979
Edgar Registered
Yes
Edgar Filing Count
8
Edgar First Filing Date
2022-02-03
Edgar Last Filing Date
2023-10-25
Edgar 13f Count
8
Edgar 13f Latest AUM Estimate
Filing Date2023-10-25
Accession0001905979-23-000005

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
300 NORTH POTTSTOWN PIKESUITE 240EXTON, PA 19341
Business
300 NORTH POTTSTOWN PIKESUITE 240EXTON, PA 19341
Edgar EIN
475166713
Edgar Recent Filings
13F-HR2023-10-25 · 0001905979-23-000005
13F-HR2023-08-03 · 0001905979-23-000004
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-02-11T19:21:04Z
Rdap Domain Last Changed
2026-05-15T05:22:22Z
Rdap Nameservers
Ns-1005.awsdns-61.netNs-1316.awsdns-36.orgNs-1734.awsdns-24.co.ukNs-61.awsdns-07.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
2680280
Trust Company Affiliate
No

People (3)

3
ROSENTHAL, DAVID, SCOTT
IAR · Direct Owner · 87.5%
2680280
HAYS, JOEL, TERRELL
IAR
4609890
DARRELL MARTIN MITCHELL
IAR
6313329