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SPIDERROCK ADVISORS, LLC

CHICAGO, IL · CRD 171992 · IAPD ↗ · spiderrockadvisors.com · (312) 847-0300

$9.83BRegulatory AUM
43Advisory reps
61Employees
0Clients
n/aPlanning clients
0Private funds
53States
7Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
April 2026 — SPIDERROCK ADVISORS, LLC notice-filed in ND.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2026 — SPIDERROCK ADVISORS, LLC added office(s): 2 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
72
April 2026 — SPIDERROCK ADVISORS, LLC reported RAUM up 64% ($5.98B -> $9.83B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
77
April 2026 — SPIDERROCK ADVISORS, LLC grew from 36 to 43 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
April 2025 — SPIDERROCK ADVISORS, LLC added office(s): 1 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
85
April 2025 — SPIDERROCK ADVISORS, LLC grew from 10 to 36 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
January 2025 — SPIDERROCK ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 2 (5 -> 7).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
October 2024 — SPIDERROCK ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 2 (3 -> 5).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
June 2024 — SPIDERROCK ADVISORS, LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
55
April 2024 — SPIDERROCK ADVISORS, LLC's Item 11 disclosure-reporting entries rose by 1 (2 -> 3).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2024 — SPIDERROCK ADVISORS, LLC notice-filed in AK, AL, AR, AZ, CO, CT, DC, DE, FL, GA, HI, IA, ID, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
65
April 2024 — SPIDERROCK ADVISORS, LLC began participating in a wrap-fee program.
Firm began participating in a wrap-fee program (Item 5I(1)).
Portfolio / reporting / TAMPCompliance
72
April 2024 — SPIDERROCK ADVISORS, LLC reported RAUM up 61% ($3.02B -> $4.85B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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