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.

Former SEC-registered adviser

Wintrust Investments

Former SEC-registered adviserChicago, IllinoisCRD 875SEC 801-64233websiteIAPD
Legal name Wintrust Investments, LLC
Latest filing May 20, 2024
First filing on the tape Mar 23, 2012 · 28 filings
SEC status approved since May 20, 2005
RAUM
$14B
reported, Item 5.F
Discretionary
64%
of RAUM
Private clients
27%
$3.9B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
178
147 advisory (5.B.1)
Offices
78
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$14B as of Mar 29, 2024
Mar 23, 2012$2.5B then
HNW client RAUM$2.3B as of Mar 29, 2024
Mar 29, 2018$280M then
State-registered IARs (5.B.3)147 as of Mar 29, 2024
Mar 23, 20120 then
Employees (5.A)178 as of Mar 29, 2024
Mar 21, 2013222 then
Private funds: no history
RAUM +6.4% over the last fiscal year+14% a year over threeIARs 144 to 147offices 76 to 78
Practice profile
derived from the filing of May 20, 2024; every figure names its basis
RAUM per advisor
$98.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
52derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$940,781derivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
64%derivedof RAUM
Institutional
19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
1.9derived79 offices incl. principal (1.F.5)
RAUM growth, one year
+6.4%derivedbetween the last two annual amendments
Advisor growth, one year
+2.1%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.1%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$4.1B, 7,655 clientsreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
  • 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 acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Banks and thrifts$7.6B53%
  • Pension and profit-sharing plans$2.6B18%
  • High-net-worth individuals$2.3B16%
  • Individuals$1.6B11%
  • Corporations and businesses$282M2.0%
  • Charitable organizations$45.6M0.3%
Individual clients
5,211reported
HNW clients
2,444reported
Pension plan clients
250reported
Charitable clients
71reported
Accounts
10,969reported
Financial planning clients
101-250reported
Wrap fee programs
$0 sponsored, $3.2B managedreported
Custody of client assets
$4.1B for 7,655 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Paul Clayton Carlisle · Directorcontrol
    since 01/2014 · owns less than 5%
  • James Edward Corbett · Chief Operations Officercontrol
    since 06/2018 · owns less than 5%
  • Bert Atwater Jr Getz · Directorcontrol
    since 01/2005 · owns less than 5%
  • Marla Friedman Glabe · Directorcontrol
    since 09/2009 · owns less than 5%
  • Scott Keith Heitmann · Directorcontrol
    since 07/2008 · owns less than 5%
  • Terrance Gregory Hughes · Director Of Salescontrol
    since 01/2013 · owns less than 5%
  • Michael Paul Kamradt · Directorcontrol
    since 01/2019 · owns less than 5%
  • Suzet Meylieu Mckinney · Directorcontrol
    since 01/2019 · owns less than 5%
  • Celena Roldan Sarillo · Directorcontrol
    since 01/2019 · owns less than 5%
  • Elliott Joseph Silver · Chief Compliance Officercontrol
    since 03/2005 · owns less than 5%
  • Michael J Smyth · Chief Financial Officercontrol
    since 03/2019 · owns less than 5%
  • Ingrid S. Stafford · Directorcontrol
    since 07/2021 · owns less than 5%
  • Thomas Patrick Zidar · Chairman & Ceocontrol
    since 09/2006 · owns less than 5%
  • Thomas Joseph Kiernan · Municipal Principal
    since 03/1998 · owns less than 5%
  • James Alfred Jr Sommerfield · Sr. Compliance Officer, Insurance Principal
    since 03/2005 · owns less than 5%
Entity owners
  • Wintrust Bank · Sole Direct Owner
    direct · owns 75% or more
  • Wintrust Financial Corporation · Sole Owner
    indirect · owns 75% or more of Wintrust Bank · 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
  • Great Lakes Advisors, LLC
    investment advisernRAUM $16B
  • 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.
    n
  • Townbank N.A.
    custodiann
  • Village Bank & Trust N.A.
    custodiann
  • Wheaton Bank & Trust Company N.A.
    custodiann
  • Wintrust Bank N.A.
    custodiany
Advisers that list Wintrust Investments as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Chicago, Il · principal000
Crete, Il000
Delafield, Wi000
Naples, Fl000
Plainfield, Il000
Offices
Schedule D 1.F, the 25 largest
  • Frankfort, IL5 employees
  • Winnetka, IL3 employees
  • Appleton, WI3 employees
  • Glen Ellyn, IL3 employees
  • Swansea, IL3 employees
  • Gurnee, IL3 employees
  • Hinsdale, IL3 employees
  • Barrington, IL2 employees
  • Libertyville, IL2 employees
  • Arlington Heights, IL2 employees
  • Antioch, IL2 employees
  • Grayslake, IL2 employees
  • Morton, IL2 employees
  • Bloomingdale, IL2 employees
  • New Lenox, IL2 employees
  • Algonquin, IL2 employees
  • Cary, IL2 employees
  • Libertyville, IL2 employees
  • Northfield, IL2 employees
  • Arlington Heights, IL2 employees
  • St. Charles, IL2 employees
  • Delafield, WI2 employees
  • Rolling Meadows, IL2 employees
  • Park Ridge, IL2 employees
  • Chicago, IL1 employees
What changed
consecutive filings, newest first
  • Advisory activities · 5 to 4
    Mar 29, 2024 to May 20, 2024
  • Accounts · 10,787 to 10,969
    May 26, 2023 to Mar 29, 2024
  • Advisory employees · 144 to 147
    May 26, 2023 to Mar 29, 2024
  • BD registered reps · 163 to 170
    May 26, 2023 to Mar 29, 2024
  • Charity clients · 75 to 71
    May 26, 2023 to Mar 29, 2024
  • Corporate clients · 69 to 63
    May 26, 2023 to Mar 29, 2024
  • HNW clients · 2,438 to 2,444
    May 26, 2023 to Mar 29, 2024
  • Individual clients · 5,134 to 5,211
    May 26, 2023 to Mar 29, 2024
  • Pension plan clients · 239 to 250
    May 26, 2023 to Mar 29, 2024
  • Assets in custody · $3.3B to $4.1B
    May 26, 2023 to Mar 29, 2024
  • Employees · 171 to 178
    May 26, 2023 to Mar 29, 2024
  • Financial planning clients · 51-100 to 101-250
    May 26, 2023 to Mar 29, 2024
  • State-registered IARs · 144 to 147
    May 26, 2023 to Mar 29, 2024
  • Other offices · 76 to 78
    May 26, 2023 to Mar 29, 2024
  • Discretionary RAUM · $8.8B to $9.3B
    May 26, 2023 to Mar 29, 2024
  • HNW RAUM · $1.8B to $2.3B
    May 26, 2023 to Mar 29, 2024
  • Individual RAUM · $1.4B to $1.6B
    May 26, 2023 to Mar 29, 2024
  • Non-discretionary RAUM · $4.8B to $5.1B
    May 26, 2023 to Mar 29, 2024
  • Pension RAUM · $2.8B to $2.6B
    May 26, 2023 to Mar 29, 2024
  • RAUM · $14B to $14B
    May 26, 2023 to Mar 29, 2024
  • Wrap assets (manager) · $2.6B to $3.2B
    May 26, 2023 to Mar 29, 2024
  • Accounts · 10,762 to 10,787
    Feb 7, 2023 to Mar 24, 2023
  • Advisory employees · 148 to 144
    Feb 7, 2023 to Mar 24, 2023
  • BD registered reps · 166 to 163
    Feb 7, 2023 to Mar 24, 2023
  • Charity clients · 60 to 75
    Feb 7, 2023 to Mar 24, 2023
  • Corporate clients · 62 to 69
    Feb 7, 2023 to Mar 24, 2023
  • HNW clients · 1,594 to 2,438
    Feb 7, 2023 to Mar 24, 2023
  • Individual clients · 4,826 to 5,134
    Feb 7, 2023 to Mar 24, 2023
  • Pension plan clients · 227 to 239
    Feb 7, 2023 to Mar 24, 2023
  • Assets in custody · $4.2B to $3.3B
    Feb 7, 2023 to Mar 24, 2023
  • Employees · 186 to 171
    Feb 7, 2023 to Mar 24, 2023
  • Insurance-licensed employees · 19 to 16
    Feb 7, 2023 to Mar 24, 2023
  • Financial planning clients · 101-250 to 51-100
    Feb 7, 2023 to Mar 24, 2023
  • State-registered IARs · 148 to 144
    Feb 7, 2023 to Mar 24, 2023
  • Other offices · 67 to 76
    Feb 7, 2023 to Mar 24, 2023
  • Discretionary RAUM · $7.1B to $8.8B
    Feb 7, 2023 to Mar 24, 2023
  • HNW RAUM · $2.4B to $1.8B
    Feb 7, 2023 to Mar 24, 2023
  • Individual RAUM · $1.5B to $1.4B
    Feb 7, 2023 to Mar 24, 2023
  • Non-discretionary RAUM · $5.3B to $4.8B
    Feb 7, 2023 to Mar 24, 2023
  • Pension RAUM · $2.9B to $2.8B
    Feb 7, 2023 to Mar 24, 2023
Signals
44 dated events
  • Wintrust Investments no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $14.4B)
    Feb 3, 2025 · Left the SEC roster · derived
  • Kelly K Hacker left Wintrust Investments for Ameriprise Financial Services, Llc (registered 2025-02-14)
    Jan 28, 2025 · Advisor changed firm · fact
  • Brian Grant Craig left Wintrust Investments for Commonwealth Financial Network (registered 2024-12-13)
    Dec 18, 2024 · Advisor changed firm · fact
  • James John Rapp left Wintrust Investments for Arkadios Wealth Advisors (registered 2025-01-17)
    Dec 11, 2024 · Advisor changed firm · fact
  • 2 advisors left Wintrust Investments (Plainfield, IL) for Arkadios Wealth Advisors on the same day
    Dec 11, 2024 · Team lift-out · derived
  • Alexander R. Marmitt left Wintrust Investments for Arkadios Wealth Advisors (registered 2024-12-02)
    Dec 11, 2024 · Advisor changed firm · fact
  • 2 advisors left Wintrust Investments (Naples, FL) for Arkadios Wealth Advisors on the same day
    Dec 11, 2024 · Team lift-out · derived
  • June Kathleen Dinardo left Wintrust Investments for Arkadios Wealth Advisors (registered 2024-12-09)
    Dec 11, 2024 · Advisor changed firm · fact
  • Justin Michael Klestinski left Wintrust Investments for Arkadios Wealth Advisors (registered 2025-01-10)
    Dec 11, 2024 · Advisor changed firm · fact
  • Juan Miguel Del Cid Pineda left Wintrust Investments for Wells Fargo Advisors (registered 2024-12-17)
    Dec 9, 2024 · Advisor changed firm · fact
  • Kevin M Sullivan left Wintrust Investments for Cetera Investment Advisers Llc (registered 2024-10-28)
    Nov 6, 2024 · Advisor changed firm · fact
  • Kyle John Sheets left Wintrust Investments for Osaic Institutions, Inc. (registered 2024-09-23)
    Sep 20, 2024 · Advisor changed firm · fact
  • Jean Theresa Wangard left Wintrust Investments for Rbc Capital Markets, Llc (registered 2024-09-18)
    Sep 19, 2024 · Advisor changed firm · fact
  • Jeffrey William Wangard left Wintrust Investments for Rbc Capital Markets, Llc (registered 2024-09-17)
    Sep 19, 2024 · Advisor changed firm · fact
  • Jonathan Eugene Patterson left Wintrust Investments for U.S. Bancorp Investments, Inc. (registered 2024-05-14)
    May 13, 2024 · Advisor changed firm · fact
  • Patty Battista Delmedico left Wintrust Investments for Onedigital (registered 2024-05-14)
    May 2, 2024 · Advisor changed firm · fact
  • Justin Levonyak left Wintrust Investments for Onedigital (registered 2024-04-11)
    May 2, 2024 · Advisor changed firm · fact
  • 4 advisors left Wintrust Investments (Chicago, IL) for Onedigital on the same day
    May 2, 2024 · Team lift-out · derived
  • Emily Maureen Everett left Wintrust Investments for Onedigital (registered 2024-05-17)
    May 2, 2024 · Advisor changed firm · fact
  • Daniel Joseph Peluse left Wintrust Investments for Onedigital (registered 2024-04-16)
    May 2, 2024 · Advisor changed firm · fact
  • Peter Gerard Koleske left Wintrust Investments for Cetera Investment Advisers Llc (registered 2025-06-11)
    Dec 31, 2023 · Advisor changed firm · fact
  • Stefan Cefali left Wintrust Investments for First Trust Advisors Lp (registered 2023-10-12)
    Oct 10, 2023 · Advisor changed firm · fact
  • Jean Paul Lacour left Wintrust Investments for Raymond James & Associates, Inc. (registered 2023-06-02)
    Jun 7, 2023 · Advisor changed firm · fact
  • James Ballor left Wintrust Investments for Charles Schwab & Co., Inc. (registered 2023-05-18)
    May 3, 2023 · Advisor changed firm · fact
  • Wintrust Investments reported 76 offices beyond its principal office, up from 67 (2023-02-07 to 2023-03-24)
    Mar 24, 2023 · Office count change · derived
  • Ingrid S. Stafford (Director) appeared on Schedule A of Wintrust Investments
    Mar 24, 2023 · Control person joined · fact
  • Allen Michael White left Wintrust Investments for Equity Investment Corp (registered 2023-01-03)
    Dec 12, 2022 · Advisor changed firm · fact
  • Louis Michael Ressler left Wintrust Investments for Fiducient Advisors Llc (registered 2023-01-17)
    Nov 30, 2022 · Advisor changed firm · fact
  • 2 advisors left Wintrust Investments (Wheaton, IL) for Robert W. Baird & CO. Incorporated on the same day
    Sep 14, 2022 · Team lift-out · derived
  • Philip Scott Park left Wintrust Investments for Robert W. Baird & Co. Incorporated (registered 2022-09-14)
    Sep 14, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026