DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Great Lakes Advisors, LLC
Latest filing Sep 8, 2026
First filing on the tape Mar 27, 2012 · 56 filings
SEC status approved since Mar 24, 1982
RAUM
$16B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
18%
$2.8B individuals and HNW
Advisors
18
registered through the firm on IAPD
RAUM per advisor
$898M
derived; firm RAUM over IAPD count
Employees
84
37 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
56 filings and snapshots on the tape
RAUM$16B as of May 19, 2026
Mar 27, 2012$3.6B then
HNW client RAUM$1.7B as of May 19, 2026
Mar 29, 2018$1.2B then
State-registered IARs (5.B.3)18 as of May 19, 2026
Mar 21, 201321 then
Employees (5.A)84 as of May 19, 2026
Mar 21, 201352 then
Private funds2 as of May 19, 2026
Mar 27, 20141 then
RAUM +5.6% over the last fiscal year+24% a year over threeIARs 20 to 18
Practice profile
derived from the filing of Sep 8, 2026; every figure names its basis
- RAUM per advisor
- $898MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.6MderivedHNW RAUM over HNW clients
- Average account
- $5.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 36%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.7derivedItem 5.A over advisors
- Advisors per office
- 4.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -30%derived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $52.4M, 2 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$4.4B31%
- Pension and profit-sharing plans$3.2B23%
- High-net-worth individuals$1.7B12%
- Charitable organizations$1.4B9.9%
- Individuals$1.1B7.8%
- State and municipal entities$1.0B7.1%
- Corporations and businesses$834M5.9%
- Insurance companies$292M2.1%
- Pooled investment vehicles$61.7M0.4%
- Other investment advisers$43.2M0.3%
- Individual clients
- 687reported
- HNW clients
- 150reported
- Pension plan clients
- 54reported
- Charitable clients
- 135reported
- Accounts
- 2,978reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $3.0B managedreported
- Custody of client assets
- $52.4M for 2 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.18 fund_share=0.28 institutional_share=0.36 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
18 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Steven Paul Swensen | Chicago, Il | Jan 9, 2026 | 28 y | 2 |
| Ryan William Derosier | Milwaukee, Wi | Jan 9, 2026 | 14 y | 4 |
| Sean Terrence HipskindCertified Financial Planner | Chicago, Il | Jan 9, 2026 | 11 y | 2 |
| Steven Neil Schenker | Chicago, Il | Jan 9, 2026 | 19 y | 3 |
| Ronee Nicole GreazelChartered Financial Analyst | Chicago, Il | Jan 9, 2026 | 11 y | 1 |
| Lori Ann Heikkila Willis | Chicago, Il | Jan 9, 2026 | 29 y | 4 |
| Peter F LynchCertified Financial Planner | Chicago, Il | Jan 9, 2026 | 16 y | 2 |
| Joseph Francis Sciaccotta | Chicago, Il | Jan 9, 2026 | 12 y | 4 |
| Matthew Channell | Chicago, Il | Jan 9, 2026 | 16 y | 2 |
| Patrick Michael Morrissey | Chicago, Il | Jan 9, 2026 | 33 y | 2 |
| Bruce Allen EbelCertified Financial Planner, Chartered Financial Analyst | Chicago, Il | Jan 9, 2026 | 16 y | 2 |
| Elliott Joseph Silver | Chicago, Il | Jan 9, 2026 | 39 y | 2 |
| Richard Michael RokusChartered Financial Analyst | Chicago, Il | Jan 9, 2026 | 33 y | 2 |
| Calvin Bradley Hays | Chicago, Il | Jan 9, 2026 | 33 y | 7 |
| John Dennis BrightChartered Financial Analyst | Chicago, Il | Jan 30, 2026 | 26 y | 1 |
| Bryan Patrick Long | Chicago, Il | Feb 2, 2026 | 10 y | 1 |
| Jon Edward QuigleyChartered Financial Analyst | Tampa, Fl | Feb 11, 2026 | 31 y | 2 |
| Justin Andrews | Chicago, Il | Apr 1, 2026 | 12 y | 0 |
Advisor movement
5 left, 1 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 28% of current headcount9 left over 36 months
Left, latest
- James Alfred Sommerfield to LPL Financial LLCMar 31, 2026 · Other
- James Alfred Sommerfield to Wintrust InvestmentsDec 31, 2025 · Other
- Elliott Joseph Silver to Wintrust InvestmentsDec 31, 2025 · Other
- Joseph Francis Sciaccotta to LPL Financial LLCDec 31, 2025 · Other
- Nicholas Rocco Rossetti to Commonwealth Financial NetworkOct 8, 2025 · Other
- Kurt Ro to LPL Financial LLCJan 30, 2025 · Other
- Adam Michael Liebman to LPL Financial LLCJan 30, 2025 · Other
- Bonnie Joann Flood to LPL Financial LLCJan 30, 2025 · Other
- Tracy N Miller to LPL Financial LLCJan 30, 2025 · Other
- Michael Shawn Gandy to Wintrust InvestmentsMar 24, 2023 · Other
- Jacqueline Paredes Sedlak to William Blair & Company L.L.C.May 6, 2022 · Other
- Jenny Ann Notte to National Investment Services Of America, LLCDec 21, 2021 · Other
- Timothy Sweeney to Charles Schwab & Co., Inc.Jun 17, 2021 · Other
- Sarah Deskovich to Wintrust InvestmentsNov 11, 2019 · Other
- Joshua Luff to Clp Asset Management, LLCAug 16, 2019 · Other
Joined, latest
- Joseph Francis Sciaccotta from LPL Financial LLCJan 9, 2026 · Other
- Steven Paul Swensen from Morgan StanleySep 6, 2023 · Other
- Sarah Deskovich from Lasalle St. Investment Advisors, L.L.C.Apr 9, 2019 · Other
- Bruce Allen Ebel from Madison Asset ManagementNov 4, 2016 · Other
- Joshua Luff from J.P. Morgan Securities LLCJun 18, 2014 · Other
- Jenny Ann Notte from Asb Capital Management LLCJan 16, 2013 · Other
- Thomas A Knott from Morgan StanleySep 30, 2011 · Other
- Pragna Gadhvi Rohman from Morgan StanleySep 30, 2011 · Other
- Richard Michael Rokus from M&I Investment Management Corp.Sep 9, 2011 · Other
- Thomas J Croghan from Morgan StanleyJan 6, 2011 · Other
- Alan Clark Ashworth from Advanced Investment PartnersApr 22, 2009 · Other
- Patrick Michael Morrissey from J.P. Morgan Asset ManagementJan 22, 2009 · Other
- William Newton Gregg from Wintrust InvestmentsSep 30, 2008 · Other
- Mark Thomas Wagner from Wagner Investment Management, LLCAug 25, 2006 · Other
- Bradford Mcmurray Walker from Chase Investment Services Corp.Oct 3, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for LPL Financial LLCJan 30, 2025 · Chicago, Il
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Great Lakes Small-Cap Trust | Other Private Fund | $40.0M | 5 | Feb 22, 2012 |
| Great Lakes Small/Mid-Cap Fund LLC | Other Private Fund | $22.5M | 3 | Feb 22, 2012 |
| Gla Partners L.P.no longer reported | Hedge Fund | $20.0M | 16 | Sep 13, 2013 |
| Great Lakes Large-Cap Value Fund, LLC | Other Private Fund | $19.8M | 5 | Feb 22, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Joseph Edward Calkins · Manager & Sr. Managing Directorcontrolsince 07/2011 · owns less than 5%
- Clayton Paul Carlisle · Managercontrolsince 03/2014 · owns less than 5%
- Mary Margaret Cosgrove · Managercontrolsince 01/2022 · owns less than 5%
- Atwater Bert Getz · Managercontrolsince 11/2008 · owns less than 5%
- Friedman Marla Glabe · Managercontrolsince 10/2009 · owns less than 5%
- Keith Scott Heitmann · Managercontrolsince 11/2008 · owns less than 5%
- W Croft James · Managercontrolsince 07/2012 · owns less than 5%
- Paul Michael Kamradt · Managercontrolsince 01/2019 · owns less than 5%
- Regan Thomas Kiley · Manager & Chief Executive Officercontrolsince 07/2011 · owns less than 5%
- Meylieu Suzet Mckinney · Managercontrolsince 01/2019 · owns less than 5%
- Edward Jon Quigley · Chief Investment Officer - Disciplined Equitycontrolsince 10/2013 · owns less than 5%
- Roldan Celena Sarillo · Managercontrolsince 01/2019 · owns less than 5%
- Allen Timothy Schlindwein · Managercontrolsince 07/2011 · owns less than 5%
- Joseph Elliott Silver · Chief Compliance Officercontrolsince 10/2004 · owns less than 5%
- J Michael Smyth · Chief Financial Officercontrolsince 03/2019 · owns less than 5%
- S. Ingrid Staffords · Managercontrolsince 07/2021 · owns less than 5%
- Jason Thomas Turner · Chief Investment Strategistcontrolsince 01/2013 · owns less than 5%
- Patrick Thomas Zidar · Manager Chairmancontrolsince 11/2008 · owns less than 5%
Entity owners
- Whamco Holding Company · Corporate Parentdirect · owns 75% or more
- Wintrust Financial Corporation · Direct Ownerindirect · owns 75% or more of Whamco Holding Company · public reporting company
Related persons
Schedule D 7.A
- Barrington Bank & Trust Company, N.A.custodiann
- Beverly Bank & Trust Company, N.A.custodiann
- Crystal Lake Bank & Trust N.A.custodiann
- Hinsdale Bank & Trust Company N.A.custodiann
- Lake Forest Bank & Trust Company, N.A.custodiann
- Libertyville Bank & Trust Company N.A.custodiann
- Northbrook Bank & Trust Company N.A.custodiann
- Old Plank Trail Community Bank, N.A.custodiann
- Schaumburg Bank & Trust Company, N.A.custodiann
- St. Charles Bank & Trust Company N.A.custodiann
- State Bank Of The Lakes N.A.custodiann
- The Chicago Trust Company N.A.custodiann
- Town Bank N.A.custodiann
- Village Bank & Trust N.A.custodiann
- Wheaton Bank & Trust Company N.A.custodiann
- Wintrust Bank N.A.custodiann
- Wintrust Investmentsbroker-dealerinvestment adviserreal estatenRAUM $14B
Advisers that list Great Lakes Advisors, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 18 | 18 | 5 | ||
| Tampa, Fl | 2 | 2 | 0 | ||
| Lake Forest, Il | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Stamford, CT24 employees
- Tampa, FL8 employees
- Lake Forest, IL3 employees
- Milwaukee, WI1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 30, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $15,298,949,943 to $16,158,030,371, advisors 20 to 18, private clients 1188 to 837, offices 3 to 3 (2025-03-19 to 2026-03-30)peers: other advisers, $5B to $20B (134)
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250May 19, 2026 to Sep 8, 2026
- Private funds · 2 to unsetMay 19, 2026 to Sep 8, 2026
- Succession · false to unsetMay 19, 2026 to Sep 8, 2026
- Accounts · 3,771 to 2,978Jan 15, 2026 to Mar 30, 2026
- Advisory employees · 38 to 37Jan 15, 2026 to Mar 30, 2026
- BD registered reps · 0 to 1Jan 15, 2026 to Mar 30, 2026
- Corporate clients · 51 to 57Jan 15, 2026 to Mar 30, 2026
- HNW clients · 204 to 150Jan 15, 2026 to Mar 30, 2026
- Individual clients · 984 to 687Jan 15, 2026 to Mar 30, 2026
- Pension plan clients · 66 to 54Jan 15, 2026 to Mar 30, 2026
- Pooled vehicle clients · 4 to 2Jan 15, 2026 to Mar 30, 2026
- Assets in custody · $57.3M to $52.4MJan 15, 2026 to Mar 30, 2026
- Employees · 86 to 84Jan 15, 2026 to Mar 30, 2026
- Financial planning clients · 51-100 to 101-250Jan 15, 2026 to Mar 30, 2026
- State-registered IARs · 16 to 18Jan 15, 2026 to Mar 30, 2026
- Discretionary RAUM · $15B to $16BJan 15, 2026 to Mar 30, 2026
- HNW RAUM · $1.8B to $1.7BJan 15, 2026 to Mar 30, 2026
- Individual RAUM · $1.2B to $1.1BJan 15, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $316M to $287MJan 15, 2026 to Mar 30, 2026
- Pension RAUM · $3.6B to $3.2BJan 15, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $134M to $61.7MJan 15, 2026 to Mar 30, 2026
- RAUM · $15B to $16BJan 15, 2026 to Mar 30, 2026
- Related broker-dealer · true to falseJan 15, 2026 to Mar 30, 2026
- Wrap assets (manager) · $2.3B to $3.0BJan 15, 2026 to Mar 30, 2026
- BD registered reps · 28 to 0Aug 11, 2025 to Sep 16, 2025
- Insurance-licensed employees · 17 to 0Aug 11, 2025 to Sep 16, 2025
- State-registered IARs · 20 to 16Aug 11, 2025 to Sep 16, 2025
- Accounts · 3,330 to 3,771Feb 10, 2025 to Mar 19, 2025
- Advisory employees · 41 to 38Feb 10, 2025 to Mar 19, 2025
- BD registered reps · 22 to 28Feb 10, 2025 to Mar 19, 2025
- Charity clients · 129 to 135Feb 10, 2025 to Mar 19, 2025
- Corporate clients · 54 to 51Feb 10, 2025 to Mar 19, 2025
- HNW clients · 153 to 204Feb 10, 2025 to Mar 19, 2025
- Individual clients · 1,083 to 984Feb 10, 2025 to Mar 19, 2025
- Pension plan clients · 79 to 66Feb 10, 2025 to Mar 19, 2025
- Pooled vehicle clients · 3 to 4Feb 10, 2025 to Mar 19, 2025
- Assets in custody · $59.8M to $57.3MFeb 10, 2025 to Mar 19, 2025
- Employees · 91 to 86Feb 10, 2025 to Mar 19, 2025
- Insurance-licensed employees · 14 to 17Feb 10, 2025 to Mar 19, 2025
- Financial planning clients · 51-100 to 51-100Feb 10, 2025 to Mar 19, 2025
Signals
21 dated events
- James Alfred Sommerfield left Great Lakes Advisors, Llc for Lpl Financial Llc (registered 2026-03-02)Mar 31, 2026 · Advisor changed firm · fact
- James Alfred Sommerfield left Great Lakes Advisors, Llc for Wintrust Investments (registered 2005-05-23)Dec 31, 2025 · Advisor changed firm · fact
- Joseph Francis Sciaccotta left Great Lakes Advisors, Llc for Lpl Financial Llc (registered 2025-01-23)Dec 31, 2025 · Advisor changed firm · fact
- Elliott Joseph Silver left Great Lakes Advisors, Llc for Wintrust Investments (registered 2005-05-23)Dec 31, 2025 · Advisor changed firm · fact
- Nicholas Rocco Rossetti left Great Lakes Advisors, Llc for Commonwealth Financial Network (registered 2025-10-06)Oct 8, 2025 · Advisor changed firm · fact
- Kurt Ro left Great Lakes Advisors, Llc for Lpl Financial Llc (registered 2025-01-23)Jan 30, 2025 · Advisor changed firm · fact
- Bonnie Joann Flood left Great Lakes Advisors, Llc for Lpl Financial Llc (registered 2025-01-23)Jan 30, 2025 · Advisor changed firm · fact
- Tracy N Miller left Great Lakes Advisors, Llc for Lpl Financial Llc (registered 2025-01-23)Jan 30, 2025 · Advisor changed firm · fact
- Adam Michael Liebman left Great Lakes Advisors, Llc for Lpl Financial Llc (registered 2025-01-23)Jan 30, 2025 · Advisor changed firm · fact
- 4 advisors left Great Lakes Advisors, LLC (Chicago, IL) for LPL Financial LLC on the same dayJan 30, 2025 · Team lift-out · derived
- Great Lakes Advisors, Llc reported RAUM $15.4B, up 81% from $8.5B (2023-03-24 to 2023-04-03)Apr 3, 2023 · RAUM change · derived
- Michael Shawn Gandy left Great Lakes Advisors, Llc for Lpl Financial Llc (registered 2023-03-29)Mar 24, 2023 · Advisor changed firm · fact
- Jacqueline Paredes Sedlak left Great Lakes Advisors, Llc for William Blair & Company L.L.C. (registered 2022-05-09)May 6, 2022 · Advisor changed firm · fact
- Mary Margaret Cosgrove (Manager) appeared on Schedule A of Great Lakes Advisors, LlcMar 30, 2022 · Control person joined · fact
- S. Ingrid Staffords (Manager) appeared on Schedule A of Great Lakes Advisors, LlcMar 30, 2022 · Control person joined · fact
- J Michael Smyth (Chief Financial Officer) appeared on Schedule A of Great Lakes Advisors, LlcJan 24, 2020 · Control person joined · fact
- Martin Thomas Paulus (Chief Financial Officer) no longer on Schedule A of Great Lakes Advisors, Llc (listed 2019-08-05, absent 2020-01-24)Jan 24, 2020 · Control person left · inference
- Alan Gary Lenhoff (Manager & Chief Investment Officer - Fundamental Equities) no longer on Schedule A of Great Lakes Advisors, Llc (listed 2019-08-05, absent 2020-01-24)Jan 24, 2020 · Control person left · inference
- Paul Michael Kamradt (Manager) appeared on Schedule A of Great Lakes Advisors, LlcFeb 26, 2019 · Control person joined · fact
- Meylieu Suzet Mckinney (Manager) appeared on Schedule A of Great Lakes Advisors, LlcFeb 26, 2019 · Control person joined · fact
- Celena Roldan (Manager) appeared on Schedule A of Great Lakes Advisors, LlcFeb 26, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Great Lakes Advisors, LLC · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business email
- supportteam@wintrustwealth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 877-243-4048reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/great-lakes-advisorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- WINTRUSTWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 312-431-1700reportedpublic record, Form ADV, Sep 8, 2026
- Contact form
- WINTRUSTWEALTH.COM/contact.htmlreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $898Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026