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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

DENNIS G O'MALLEY

Advisor at SPIDERROCK ADVISORS, LLC

Chicago, IL

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Search this name across graphsid dfx:ria:d06bbd1e-b49f-1722-2ffc-34e7fe134e0b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Jun 25, 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: SPIDERROCK ADVISORS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 29, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Dec 29, 2011
First registration: Jun 25, 2013
Dual registered: yes, broker-dealer
Other names: DENNY O'MALLEY|DENNIS GERALD O'MALLEY|DENNIS G O MALLEY|DENNIS G OMALLEY|DENNIS G O'MALLEY|Dennis Gerald OMalley
IAPD individual key: 5826142

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
SPIDERROCK ADVISORS, LLC	Independent wealth	Jun 20, 2024	n/a	yes	Chicago, IL	Current employment
THE INVICTUS COLLECTIVE, LLC	Independent wealth	Jul 19, 2023	Nov 1, 2023	no	PARK RIDGE, IL	Previous registration
ROTHSCHILD WEALTH LLC	Independent wealth	Jul 8, 2020	May 22, 2023	no	OAKBROOK, IL\|Chicago, IL	Previous registration
NORTHERN TRUST INVESTMENTS, INCORPORATED	Asset manager	Nov 8, 2017	Jun 15, 2020	no	Chicago, IL\|CHICAGO, IL	Previous registration
CEDAR CAPITAL, LLC	Former SEC adviser	Feb 10, 2015	Jan 25, 2016	no	GLEN ELLYN, IL	Previous registration
GOOD HARBOR FINANCIAL	Former SEC adviser	Mar 28, 2014	Jan 2, 2015	no	BARRINGTON, IL	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jun 25, 2013	Dec 4, 2013	no	SKOKIE, IL	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
THE INVICTUS COLLECTIVE, LLC	SPIDERROCK ADVISORS, LLC	Nov 1, 2023	Jun 20, 2024	232	Firm change	Other
ROTHSCHILD WEALTH LLC	THE INVICTUS COLLECTIVE, LLC	May 22, 2023	Jul 19, 2023	58	Firm change	RIA to RIA
NORTHERN TRUST INVESTMENTS, INCORPORATED	ROTHSCHILD WEALTH LLC	Jun 15, 2020	Jul 8, 2020	23	Firm change	Other
CEDAR CAPITAL, LLC	NORTHERN TRUST INVESTMENTS, INCORPORATED	Jan 25, 2016	Nov 8, 2017	653	Firm change after gap	Other
GOOD HARBOR FINANCIAL	CEDAR CAPITAL, LLC	Jan 2, 2015	Feb 10, 2015	39	Firm change	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	GOOD HARBOR FINANCIAL	Dec 4, 2013	Mar 28, 2014	114	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
127351:174020:IL:2015-01-02	Jan 2, 2015	Feb 10, 2015	BARRINGTON, IL	Firm change

Relationships

Registered with (7)

→ SPIDERROCK ADVISORS, LLCRegistered adviserregistration: current employment
Jun 20, 2024 to presentfactForm ADV
→ THE INVICTUS COLLECTIVE, LLCRegistered adviserregistration: previous registration
Jul 19, 2023 to Nov 1, 2023factForm ADV
→ ROTHSCHILD WEALTH LLCRegistered adviserregistration: previous registration
Jul 8, 2020 to May 22, 2023factForm ADV
→ NORTHERN TRUST INVESTMENTS, INCORPORATEDRegistered adviserregistration: previous registration
Nov 8, 2017 to Jun 15, 2020factForm ADV
→ CEDAR CAPITAL, LLCRegistered adviserregistration: previous registration
Feb 10, 2015 to Jan 25, 2016factForm ADV
→ GOOD HARBOR FINANCIALRegistered adviserregistration: previous registration
Mar 28, 2014 to Jan 2, 2015factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Jun 25, 2013 to Dec 4, 2013factForm ADV

Dated events

Occurred
Nov 1, 2023
Advisor changed firm
Dennis G O'Malley left The Invictus Collective, Llc for Spiderrock Advisors, Llc (registered 2024-06-20)
Form ADVobserved 4 days ago
Occurred
May 22, 2023
Advisor changed firm
Dennis G O'Malley left Rothschild Wealth Llc for The Invictus Collective, Llc (registered 2023-07-19)
Form ADVobserved 4 days ago