WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

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Walled Lake Planning & Wealth Management is based out of Winnetka. Walled Lake Planning & Wealth Management is a large advisory firm with 1060 clients and discretionary assets under management (AUM) of $382,569,349 (Form ADV from 2020-09-02). Their last reported 13F filing for Q3 2020 included $123,321,000 in managed 13F securities and a top 10 holdings concentration of 41.72%. Walled Lake Planning & Wealth Management's largest holding is iShares Russell 1000 Growth ETF with shares held of 31,228. Whalewisdom has at least 4 13F filings

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09/30/2020

13F Activity

  • Market Value $123.321 Million
  • Prior Market Value $119.465 Million
  • New Purchases18 stocks
  • Additional Purchases153 stocks
  • Sold out of15 stocks
  • Reduced holdings in33 stocks
  • Top 10 Holdings % 41.72 %
  • Turnover % [1]:9.12%
  • Turnover Alt % [2]: 6.61 %
  • Time Held Top20:2.55 quarters
  • Time Held Top10:2.10 quarters
  • Time Held All:2.47 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

09/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-11-16

Performance for Q3 2020: 5.03%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter
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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC
560 GREEN BAY ROAD SUITE 301
WINNETKA IL    60093
Country: United States
Business Phone: (847) 616-2590
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: IL
Number of employees: 6
Other Business Activities: insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities: 0
Total Number of Clients: 1060
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

ownership team - last updated 2020-09-02
Name Title Start Date Direct/Indirect % Ownership
KLIEGER, HOWARD, ROBERT CHIEF EXECUTIVE OFFICER 12/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2018-12-01
COOPER, NOEL, ADAM CHIEF OPERATING OFFICE 01/01/2019 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC CHIEF OPERATING OFFICE direct 2019-01-01
MCDERMOTT, JOSEPH, DANIEL CHIEF COMPLIANCE OFFICER 09/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
KEELEY ASSET MANAGEMENT CORP CHIEF COMPLIANCE OFFICER direct 2009-03-01
DRIEHAUS CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
FIRST TRUST ADVISORS LP CHIEF COMPLIANCE OFFICER direct 2006-07-01
DRIEHAUS CAPITAL MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER direct 2004-10-01
STONEBRIDGE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2009-08-01
CLEARSTREAM INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2009-11-01
AVIVA INVESTORS AMERICAS LLC CHIEF COMPLIANCE OFFICER direct 2015-09-01

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

ownership team - last updated 2020-06-15
Name Title Start Date Direct/Indirect % Ownership
KLIEGER, HOWARD, ROBERT CHIEF EXECUTIVE OFFICER 12/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2018-12-01
COOPER, NOEL, ADAM CHIEF OPERATING OFFICE 01/01/2019 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC CHIEF OPERATING OFFICE direct 2019-01-01
SIZEMORE, STACY, LEIGH CHIEF COMPLIANCE OFFICER 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
MENGIS CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2007-05-01

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

ownership team - last updated 2020-03-18
Name Title Start Date Direct/Indirect % Ownership

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

ownership team - last updated 2019-11-27
Name Title Start Date Direct/Indirect % Ownership
KLIEGER, HOWARD, ROBERT CHIEF EXECUTIVE OFFICER 12/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2018-12-01
COOPER, NOEL, ADAM CHIEF OPERATING OFFICE 01/01/2019 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC CHIEF OPERATING OFFICE direct 2019-01-01
SIZEMORE, STACY, LEIGH CHIEF COMPLIANCE OFFICER 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
MENGIS CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2007-05-01

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

ownership team - last updated 2019-06-12
Name Title Start Date Direct/Indirect % Ownership
KLIEGER, HOWARD, ROBERT CHIEF EXECUTIVE OFFICER 12/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2018-12-01
COOPER, NOEL, ADAM CHIEF OPERATING OFFICE 01/01/2019 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC CHIEF OPERATING OFFICE direct 2019-01-01
SIZEMORE, STACY, LEIGH CHIEF COMPLIANCE OFFICER 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
MENGIS CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2007-05-01

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

ownership team - last updated 2019-03-13
Name Title Start Date Direct/Indirect % Ownership
KLIEGER, HOWARD, ROBERT CHIEF EXECUTIVE OFFICER 12/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2018-12-01
CASTLEMAN, MEGAN, LOUISE CHIEF COMPLIANCE OFFICER 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRU INDEPENDENCE, LLC CHIEF COMPLIANCE OFFICER direct 2014-12-01
ALLIUM FINANCIAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-04-01

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

ownership team - last updated 2018-11-06
Name Title Start Date Direct/Indirect % Ownership
KLIEGER, HOWARD, ROBERT CHIEF EXECUTIVE OFFICER 12/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2018-12-01
CASTLEMAN, MEGAN, LOUISE CHIEF COMPLIANCE OFFICER 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRU INDEPENDENCE, LLC CHIEF COMPLIANCE OFFICER direct 2014-12-01
ALLIUM FINANCIAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-04-01

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