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CHICAGO OAKBROOK FINANCIAL GROUP

OAK BROOK, IL · CRD 333344 · IAPD ↗ · (630) 954-5572

$1.21BRegulatory AUM
9Advisory reps
19Employees
0Clients
26-50Planning clients
0Private funds
15States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

69
March 2026 — CHICAGO OAKBROOK FINANCIAL GROUP reports 26-50 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
85
March 2026 — CHICAGO OAKBROOK FINANCIAL GROUP crossed $1B in regulatory AUM ($907.3M -> $1.21B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
45
March 2025 — CHICAGO OAKBROOK FINANCIAL GROUP notice-filed in TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
March 2025 — CHICAGO OAKBROOK FINANCIAL GROUP now reports custody of client assets ($208.5M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
73
March 2025 — CHICAGO OAKBROOK FINANCIAL GROUP's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
December 2024 — CHICAGO OAKBROOK FINANCIAL GROUP (OAK BROOK, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 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.