HTTPS://WWW.WALLEDLAKEWEALTH.COM • WINNETKA, IL • Investment Advisor How do I update this listing?
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
09/30/2020
09/30/2020
09/30/2020
09/30/2020
[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
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Top 20 equal-weighted holdings. Performance numbers calculated through 2020-11-16
Performance for Q3 2020: | 5.03% |
Performance Last 4 Quarters: | 0.0% |
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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: |
Name | Title | Start Date | Direct/Indirect | % Ownership | |||||||||||||||||||||||||||||||||||||||||
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KLIEGER, HOWARD, ROBERT | CHIEF EXECUTIVE OFFICER | 12/01/2018 | Direct | 50 - 75% | |||||||||||||||||||||||||||||||||||||||||
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COOPER, NOEL, ADAM | CHIEF OPERATING OFFICE | 01/01/2019 | Direct | 25 - 50% | |||||||||||||||||||||||||||||||||||||||||
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MCDERMOTT, JOSEPH, DANIEL | CHIEF COMPLIANCE OFFICER | 09/01/2020 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
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Name | Title | Start Date | Direct/Indirect | % Ownership | |||||||||||
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KLIEGER, HOWARD, ROBERT | CHIEF EXECUTIVE OFFICER | 12/01/2018 | Direct | 50 - 75% | |||||||||||
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COOPER, NOEL, ADAM | CHIEF OPERATING OFFICE | 01/01/2019 | Direct | 25 - 50% | |||||||||||
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SIZEMORE, STACY, LEIGH | CHIEF COMPLIANCE OFFICER | 05/01/2019 | Direct | less than 5% | |||||||||||
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Name | Title | Start Date | Direct/Indirect | % Ownership |
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Name | Title | Start Date | Direct/Indirect | % Ownership | |||||||||||
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KLIEGER, HOWARD, ROBERT | CHIEF EXECUTIVE OFFICER | 12/01/2018 | Direct | 50 - 75% | |||||||||||
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COOPER, NOEL, ADAM | CHIEF OPERATING OFFICE | 01/01/2019 | Direct | 25 - 50% | |||||||||||
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SIZEMORE, STACY, LEIGH | CHIEF COMPLIANCE OFFICER | 05/01/2019 | Direct | less than 5% | |||||||||||
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Name | Title | Start Date | Direct/Indirect | % Ownership | |||||||||||
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KLIEGER, HOWARD, ROBERT | CHIEF EXECUTIVE OFFICER | 12/01/2018 | Direct | 50 - 75% | |||||||||||
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COOPER, NOEL, ADAM | CHIEF OPERATING OFFICE | 01/01/2019 | Direct | 25 - 50% | |||||||||||
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SIZEMORE, STACY, LEIGH | CHIEF COMPLIANCE OFFICER | 05/01/2019 | Direct | less than 5% | |||||||||||
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Name | Title | Start Date | Direct/Indirect | % Ownership | ||||||||||||||||
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KLIEGER, HOWARD, ROBERT | CHIEF EXECUTIVE OFFICER | 12/01/2018 | Direct | 75% or more | ||||||||||||||||
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CASTLEMAN, MEGAN, LOUISE | CHIEF COMPLIANCE OFFICER | 12/01/2018 | Direct | less than 5% | ||||||||||||||||
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Name | Title | Start Date | Direct/Indirect | % Ownership | ||||||||||||||||
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KLIEGER, HOWARD, ROBERT | CHIEF EXECUTIVE OFFICER | 12/01/2018 | Direct | 75% or more | ||||||||||||||||
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CASTLEMAN, MEGAN, LOUISE | CHIEF COMPLIANCE OFFICER | 12/01/2018 | Direct | less than 5% | ||||||||||||||||
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