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DRAKE & ASSOCIATES, LLC

WAUKESHA, WI · CRD 154854 · IAPD ↗ · 414-409-7226

$607.3MRegulatory AUM
15Advisory reps
36Employees
0Clients
0Planning clients
0Private funds
8States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

70
April 2026 — DRAKE & ASSOCIATES, LLC crossed $500M in regulatory AUM ($418.8M -> $607.3M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
64
April 2025 — DRAKE & ASSOCIATES, LLC reported RAUM up 34% ($313.1M -> $418.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
77
April 2025 — DRAKE & ASSOCIATES, LLC grew from 6 to 15 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
47
April 2024 — DRAKE & ASSOCIATES, LLC notice-filed in CA, NC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2024 — DRAKE & ASSOCIATES, LLC added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
April 2024 — DRAKE & ASSOCIATES, LLC reported RAUM up 38% ($227.2M -> $313.1M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
70
April 2024 — DRAKE & ASSOCIATES, LLC grew from 4 to 6 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.