SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Wealth Effects
Boston, MA
Wealth Effects LLC, CRD 315244
Firm filing updated February 13, 2026 ·
- $472MAssets
- 9Advisory staff
- 988Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals496
- High net worth individuals100
- Charities6
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 496 | $319.0 million |
| High net worth individuals | 100 | $150.0 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 clients | $1.0 million |
| Charitable organizations | 6 | $2.0 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
Assets and accounts
- Regulatory assets$472.0 million
- Accounts988
- DiscretionaryAll accounts
People
- Employees17
- Advisory staff9
- Broker-dealer reps0
- Licensed insurance agents3
- Planning clients101 to 250
Advisors
2 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- Legal name: Wealth Effects LLC SEC-registered investment advisor. CRD 315244, SEC file 801-121699.
- Registered with the SEC as an investment advisor (status date on record: July 7, 2021).
Is Wealth Effects a fiduciary?
Short answer: Wealth Effects is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
3 staff are licensed insurance agents.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.