The Wellington Group

What The Wellington Group does

The Wellington Group, LLC is an SEC-registered investment advisory firm headquartered in Indianapolis, Indiana, providing customized financial and retirement planning services to individuals, families, pre-retirees, retirees, high-net-worth investors, and business owners. The firm delivers its offering through six interconnected service pillars: Income Strategies, Wealth Strategies, Tax Minimization Strategies, Long-Term Care Strategies, Legacy Strategies, and Business Strategies, executed through a six-step process (Discovery, Data Gathering, Research & Analysis, Recommendation, Implementation, Periodic Review). It also sells insurance and annuity products on a commission basis, in addition to recurring investment advisory fees collected under a fiduciary standard.

The firm operates without any proprietary technology platform, API, mobile app, or AI/ML capabilities disclosed in available materials; service delivery is entirely human-advisor-driven using standard securities licensing (Series 6, 7, 63, 65) and industry-standard planning tools. Its go-to-market is consultative and relationship-based, using no-obligation introductory meetings and a regional Midwest geographic focus anchored by a single office at 9000 Keystone Crossing, Suite 400. Marketing relies on the firm's website content, organic social presence, and personal referrals rather than digital-led acquisition.

Ownership is a private partnership led by Founder & Managing Partner Tony Bonanno (a perennial MDRT Top of the Table member since 1999) and Founder & Partner Thomas L. Cates, with Max Moritz elevated to Partner in 2023. The firm has 13 named team members, no external funding, no parent company, and no disclosed subsidiaries, M&A history, or patent portfolio. Revenue is generated from recurring advisory fees under a fiduciary duty of care and loyalty, plus insurance and annuity commissions.

Name

The Wellington Group

Legal name

The Wellington Group, LLC

Website

https://thewellingtongroupllc.com

Company type

Private

Founded year

1998

Operating status

Operating

Headcount range

11–50 employees

Short description

The Wellington Group is an SEC-registered investment advisory firm in Indianapolis that delivers personalized retirement, wealth, tax, legacy, and business planning services to pre-retirees, retirees, high-net-worth individuals, and business owners through a six-step advisory process.

Ownership category

akta.pro rank

Product category

Financial Advisory Services

NAICS

Portfolio Management and Investment Advice (523940)

SIC

Investment Advice (6282)

akta.pro primary industry

Financial Planning–Led RIAs (FSAAACAB)

akta.pro secondary industries

Retirement & Distribution Planning RIAs (401(k)/IRA/Pension Rollovers) (FSAAACAE), Insurance-Integrated Wealth Managers (RIA + Insurance Solutions) (FSAAACAI), Tax-Focused Wealth Management RIAs (FSAAACAD)

Keywords

• Retirement income planning
• Wealth management services
• Financial advisory services
• Tax minimization strategies
• Estate planning services

Headquarters

HQ city

Indianapolis

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2C

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Infrastructure, Technology or R&D

Revenue model

1. Investment Advisory Services: The Wellington Group is an SEC-registered investment advisory firm offering investment advisory services in accordance with a fiduciary duty of care and loyalty.
2. Insurance and Annuity Products: Advisors may receive commission for the sale of insurance and annuity products. Insurance services have a best interest standard requiring recommendations to be in the client's best interest.

Pricing tiers

Go-to-market motion2 records

Distribution channels2 records

Marketing channels3 records

Core offering

The Wellington Group provides personalized financial and retirement advisory services through six service pillars: Income Strategies, Wealth Strategies, Tax Minimization Strategies, Long-Term Care Strategies, Legacy Strategies, and Business Strategies. As an SEC-registered investment advisory firm, it delivers customized financial planning for individuals, pre-retirees, retirees, high-net-worth investors, and business owners using a six-step process from Discovery through Periodic Review. The firm also earns commissions on insurance and annuity products distributed through its licensed advisors.

Product overview

The Wellington Group offers a comprehensive suite of financial and retirement advisory services through six interconnected service pillars. Their core offerings include Income Strategies for retirement income planning, Wealth Strategies for investment management, Tax Minimization Strategies for tax efficiency, Long-Term Care Strategies for healthcare expense planning, Legacy Strategies for estate planning, and Business Strategies for business owner needs. The firm operates as a unified advisory practice where these services are delivered through a six-step process: Discovery, Data Gathering, Research & Analysis, Recommendation, Implementation, and Periodic Review. All services are provided by a team of licensed financial advisors including CFP professionals, with individual clients receiving customized strategies tailored to their specific retirement goals and circumstances.

Differentiator

Problem solved

Functional benefit

Products and services

• Income Strategies Retirement income planning services that help clients transition from accumulation to distribution phases, managing income sources during retirement and supporting a sustainable lifestyle. Designed for pre-retirees, retirees, and individuals approaching retirement.
• Wealth Strategies Investment and wealth management services that help protect against inflation, unexpected expenses, and market volatility through diversified investment products. Targeted at individuals, families, pre-retirees, retirees, and high-net-worth investors.
• Tax Minimization Strategies Strategies designed to offset the impact of taxes on investment returns and other income, helping clients reduce their tax burden across retirement and wealth accumulation phases. Available to individuals, families, and business owners.
• Long-Term Care Strategies Planning services to help clients prepare for and manage long-term care expenses and life transitions. Targeted at pre-retirees, retirees, and individuals concerned with healthcare costs in later life.
• Legacy Strategies Estate and legacy planning services to help clients pass on wealth to loved ones and make informed decisions about long-term care and intergenerational wealth transfer. Targeted at high-net-worth individuals, families, and business owners concerned with estate planning.
• Business Strategies Services for business owners including tax minimization, retirement savings maximization, key employee incentive plans, and business sale assistance. Targeted at owners of small and mid-sized businesses preparing for exit, succession, or transition to retirement.

Named customers5 records

Segments3 records

Ideal customer profiles4 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Scale indicators3 records

Recent moves5 records

Expansion highlights4 records

Direct peers

• Carson Group: Independent RIA platform supporting hundreds of advisors serving HNW individuals with comprehensive wealth, retirement, tax, and legacy planning — similar service pillars scaled through a partner model.
• Mariner Wealth Advisors: Independent RIA providing comprehensive wealth, tax, retirement, and legacy planning to HNW individuals and families — directly comparable service model and client profile, with broader geographic reach and scale.
• Foster & Motley: Midwest-based (Cincinnati) independent RIA of comparable size delivering comprehensive wealth, retirement, and estate planning to HNW individuals and families — a tight comparable in scale, service model, and customer profile.
• BlueSky Wealth Advisors: Indianapolis-based independent RIA offering comprehensive financial planning, retirement, and tax strategies to individuals and business owners — closely overlapping The Wellington Group's client mix, geographic market, and service pillars.
• Buckingham Strategic Wealth: Independent, fee-only RIA offering comprehensive financial planning and evidence-based investment management to individuals and families — directly comparable on fiduciary RIA model and planning-led service set.
• Creative Planning: Large independent, fee-only RIA offering comprehensive financial planning, tax, retirement, and estate services to HNW households and business owners — same service architecture and fiduciary positioning as The Wellington Group, at much greater scale.

Broad incumbents

• Edelman Financial Engines: One of the largest independent RIAs in the U.S., offering comprehensive financial planning and investment management to a broad mass-affluent and HNW audience — a scaled version of The Wellington Group's planning-led model.
• Ameriprise Financial: National diversified financial services firm with a large advisor channel delivering retirement, wealth, and legacy planning to HNW individuals — broader portfolio with overlapping capabilities in retirement and legacy advisory.
• Charles Schwab Wealth Advisory: Schwab's advisory offering combines dedicated advisors with digital tools to deliver retirement and wealth planning at scale — competes with The Wellington Group for HNW retirement and rollover business, particularly on price and digital experience.

Emerging players

• Empower (formerly Personal Capital): Hybrid digital RIA combining a robust planning dashboard with human advisors for HNW households — directly competes with The Wellington Group's planning-led value proposition, with a stronger technology layer and lower fees.

Market position

Strengths1 record

Weaknesses1 record

Competitive moat3 records

Key risks6 records

Key highlights7 records

Customer concentration

• LinkedInlinkedin.com/company/thewellingtongroupllc

Revenue estimate

Valuation estimate

Number of profiles

Profiles13 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments1 record

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about The Wellington Group