SourcingSourcing

AND WEALTH PARTNERS, LLC

C37
CRD 149136·SEC 801-69853·BALTIMORE, MD
AUM
$508.2M
$500M-$1B
Est. Revenue
$5.1M
@ 1% on AUM
Est. EBITDA
$1.5M
@ 30% margin
Est. Deal Value
$12.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
AND WEALTH PARTNERS, LLC
CRD
149136
SEC file #
801-69853
EIN
—
DBA names
&wealth Partners

Economics

AUM
$508.2M
AUM band
$500M-$1B
AUM trajectory
'20'26
$206.9M → $508.2M▲ +146%
Client mix
Individuals High Net Worth70
Individuals Other26
Corporations7

Operations

Employees (total)
5
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
1 advisors → 3 advisors▲ +200%
Primary office
BALTIMORE MD
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwabmedium confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisers
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
02/23/2026
ADV-W filed at
—
Website
instagram.com/@and_wealth(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
FAIN, DORIE, HARRIET
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
FAIN, DORIE, HARRIET
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
social_url_excluded:instagram.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

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
Window
Charles Schwab3
Full
Charles Schwab9
E*trade4
Jpmorgan2
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
2871080
Trust Company Affiliate
No

People (3)

3
FAIN, DORIE, HARRIET
IAR · Direct Owner · 87.5%
2871080
Callie Brooks
IAR
7807448
Natalie Beth Sherman
IAR
7254166