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RIA / WealthAdvisorCertified Financial Planner12 years in industry

DANIEL JOSEPH ROOKER

Advisor at ROOK FINANCIAL LLC

OAK PARK, IL

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Search this name across graphsid dfx:ria:1268c19d-9021-3841-6f6e-743d9be3721f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Oct 15, 2013 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ROOK FINANCIAL LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 14, 2013earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 4
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Oct 14, 2013
First registration: Oct 15, 2013
Dual registered: no
Other names: DAN ROOKER
IAPD individual key: 6121324

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ROOK FINANCIAL LLC	State registered	Jul 11, 2025	n/a	yes	OAK PARK, IL	Current employment
SLP WEALTH	Independent wealth	May 10, 2023	Mar 4, 2025	no	DURHAM, NC\|Chicago, IL	Previous registration
ROOK FINANCIAL LLC	n/a	Apr 16, 2021	Jul 6, 2023	no	CHICAGO, IL	Previous registration
HIGHTOWER ADVISORS, LLC	Bd affiliated wealth	Oct 6, 2020	Mar 16, 2021	no	Chicago, IL\|CHICAGO, IL	Previous registration
PRIVATE VISTA, LLC	Former SEC adviser	Mar 20, 2018	Nov 4, 2020	no	OAK BROOK, IL	Previous registration
FACTOR WEALTH MANAGEMENT	Independent wealth	May 30, 2017	Jan 11, 2018	no	CHICAGO, IL	Previous registration
OSAIC FA, INC.	Former SEC adviser	Apr 19, 2016	Jun 5, 2017	no	CHICAGO, IL	Previous registration
STRATOS WEALTH PARTNERS, LTD	Bd affiliated wealth	Oct 15, 2013	Mar 30, 2016	no	BEACHWOOD, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SLP WEALTH	ROOK FINANCIAL LLC	Mar 4, 2025	Jul 11, 2025	129	Firm change	RIA to state RIA
ROOK FINANCIAL LLC	SLP WEALTH	Jul 6, 2023	May 10, 2023	-57	Firm change after gap	Other
HIGHTOWER ADVISORS, LLC	ROOK FINANCIAL LLC	Mar 16, 2021	Apr 16, 2021	31	Firm change	Other
PRIVATE VISTA, LLC	HIGHTOWER ADVISORS, LLC	Nov 4, 2020	Oct 6, 2020	-29	Firm change	RIA to ibd
FACTOR WEALTH MANAGEMENT	PRIVATE VISTA, LLC	Jan 11, 2018	Mar 20, 2018	68	Firm change	Other
OSAIC FA, INC.	FACTOR WEALTH MANAGEMENT	Jun 5, 2017	May 30, 2017	-6	Firm change	Other
STRATOS WEALTH PARTNERS, LTD	OSAIC FA, INC.	Mar 30, 2016	Apr 19, 2016	20	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
108084:145323:IL:2020-11-04	Nov 4, 2020	Oct 6, 2020	OAK BROOK, IL	Firm change

Relationships

Registered with (8)

→ ROOK FINANCIAL LLCRegistered adviserregistration: current employment
Jul 11, 2025 to presentfactForm ADV
→ SLP WEALTHRegistered adviserregistration: previous registration
May 10, 2023 to Mar 4, 2025factForm ADV
→ ROOK FINANCIAL LLCRegistered adviserregistration: previous registration
Apr 16, 2021 to Jul 6, 2023factForm ADV
→ HIGHTOWER ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 6, 2020 to Mar 16, 2021factForm ADV
→ PRIVATE VISTA, LLCRegistered adviserregistration: previous registration
Mar 20, 2018 to Nov 4, 2020factForm ADV
→ FACTOR WEALTH MANAGEMENTRegistered adviserregistration: previous registration
May 30, 2017 to Jan 11, 2018factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Apr 19, 2016 to Jun 5, 2017factForm ADV
→ STRATOS WEALTH PARTNERS, LTDRegistered adviserregistration: previous registration
Oct 15, 2013 to Mar 30, 2016factForm ADV

Dated events

Occurred
Mar 4, 2025
Advisor changed firm
Daniel Joseph Rooker left Slp Wealth for Rook Financial Llc (registered 2025-07-11)
Form ADVobserved 5 days ago
Occurred
Jul 6, 2023
Advisor changed firm
Daniel Joseph Rooker left Rook Financial Llc for Slp Wealth (registered 2023-05-10)
Form ADVobserved 5 days ago