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LAKE STREET

CHICAGO, IL · CRD 296761 · IAPD ↗ · clarity-fg.com · 312-766 7040

$1.16BRegulatory AUM
6Advisory reps
9Employees
0Clients
1-10Planning clients
0Private funds
22States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

51
August 2026 — LAKE STREET notice-filed in MD, VA, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
August 2026 — LAKE STREET added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
August 2026 — LAKE STREET now reports custody of client assets ($201.2M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
51
April 2026 — LAKE STREET notice-filed in LA, NE, NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
85
April 2026 — LAKE STREET crossed $1B in regulatory AUM ($961.8M -> $1.16B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
45
July 2025 — LAKE STREET notice-filed in MN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
March 2025 — LAKE STREET shrank from 9 to 6 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
85
March 2024 — LAKE STREET crossed $1B in regulatory AUM ($796.4M -> $1.00B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting

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