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WINDROCK WEALTH MANAGEMENT

NAPERVILLE, IL · CRD 166124 · IAPD ↗ · windrockwealth.com · 312-650-9593

$363.2MRegulatory AUM
4Advisory reps
5Employees
0Clients
n/aPlanning clients
1Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
April 2026 — WINDROCK WEALTH MANAGEMENT reported RAUM up 25% ($290.6M -> $363.2M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
45
August 2025 — WINDROCK WEALTH MANAGEMENT notice-filed in MI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
48
April 2025 — WINDROCK WEALTH MANAGEMENT reported RAUM down 30% ($415.3M -> $290.6M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions

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