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WINTRUST INVESTMENTS

CHICAGO, IL · CRD 875 · IAPD ↗ · fcbadvisors.com · 312-431-1700

$14.42BRegulatory AUM
147Advisory reps
178Employees
0Clients
101-250Planning clients
0Private funds
51States
4Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
February 2025 — WINTRUST INVESTMENTS (CHICAGO, IL) left the SEC roster (was $14.42B RAUM, 147 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
55
April 2024 — WINTRUST INVESTMENTS added office(s): 76 -> 78 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
63
April 2024 — WINTRUST INVESTMENTS reports 101-250 financial-planning clients, up from 51-100.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

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