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LUCAS GROUP FINANCIAL ADVISORS, LLC

FREEPORT, IL · CRD 326880 · IAPD ↗ · lucasgroupfinancial.com · 815-235-9610

$337.7MRegulatory AUM
7Advisory reps
9Employees
0Clients
1-10Planning clients
0Private funds
5States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

28
December 2025 — LUCAS GROUP FINANCIAL ADVISORS, LLC changed its website from wallemassociates.com to lucasgroupfinancial.com.
Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
Marketing & brand
48
December 2025 — LUCAS GROUP FINANCIAL ADVISORS, LLC moved its main office from LOVES PARK, IL to FREEPORT, IL.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
49
December 2025 — LUCAS GROUP FINANCIAL ADVISORS, LLC notice-filed in IA, NE, NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
December 2025 — LUCAS GROUP FINANCIAL ADVISORS, LLC added office(s): 0 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
58
December 2025 — WALLEM ASSOCIATES, INC. is now doing business as LUCAS GROUP FINANCIAL ADVISORS, LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
61
December 2025 — LUCAS GROUP FINANCIAL ADVISORS, LLC reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
68
December 2025 — LUCAS GROUP FINANCIAL ADVISORS, LLC now reports custody of client assets ($122.7M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
73
December 2025 — LUCAS GROUP FINANCIAL ADVISORS, LLC reported RAUM up 178% ($118.3M -> $329.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
73
December 2025 — LUCAS GROUP FINANCIAL ADVISORS, LLC grew from 2 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
95
January 2025 — WALLEM ASSOCIATES, INC. (LOVES PARK, IL) is newly SEC-registered with $107.0M RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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