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WAVVEST WEALTH

CHICAGO, IL · CRD 332096 · IAPD ↗ · 630-699-8602

$339.9MRegulatory AUM
5Advisory reps
6Employees
0Clients
0Planning clients
0Private funds
6States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

49
October 2026 — WAVVEST WEALTH notice-filed in FL, IN, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
63
October 2026 — WAVVEST WEALTH reported RAUM up 27% ($268.5M -> $339.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
70
October 2026 — WAVVEST WEALTH grew from 3 to 5 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
47
June 2026 — WAVVEST WEALTH notice-filed in CA, OH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
73
June 2026 — WAVVEST WEALTH reported RAUM up 8179% ($3.2M -> $268.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
78
June 2026 — WAVVEST WEALTH now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
70
December 2024 — WAVVEST WEALTH's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
August 2024 — WAVVEST WEALTH (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 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.