Hedge Fund Database

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

Adviser information for WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC last updated from Form ADV on March 18th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Illinois, United States

Employees

Total Number of Employees 7
Investment Advisory/Research 5
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 5
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,882 $556.6M
Non-Discretionary 0 $0
Total 1,882 $556.6M

Clients

Type Number RAUM
Individuals 296 $277.7M
HNW Individuals 44 $277.7M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans <5 $1.2M
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businesses
Compensation % of AUM
Other Business Activities Insurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 556.6M
Portfolio Manager to Program Sponsor
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

Identifiers

SEC RIA File Number 801-114386
SEC ERA File Number 801-114386
SEC CIK Numbers 1812177
SEC CRD Numbers 299595
Legal Entity Identifier None

Principal Office

600 ELM PLACE
HIGHLAND PARK
IL
United States
Monday - Friday, 8AM TO 5PM
Tel: (847) 616-2590, Fax: None

Websites

www.walledlakewealth.com www.wlpwm.com

Chief Compliance Officer

GERY SADZEWICZ
5205 BROOKSHIRE ESTATES DRIVE
PLAINFIELD
IL
United States
Tel: 815-782-1250
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
KLIEGER, HOWARD, ROBERT Individual – MANAGING DIRECTOR / CO-FOUNDER 12/2018 50-75%
COOPER, NOEL, ADAM Individual – MANAGING DIRECTOR / CO-FOUNDER 01/2019 25-50%
SADZEWICZ, GERY, JOSEPH Individual – CHIEF COMPLIANCE OFFICER 01/2023 < 5%
WALTERS, ZACHARY, HAROLD Individual – CHIEF INVESTMENT OFFICER AND PRINCIPAL 12/2018 5-10%

No. Employees, Historic

105020192020202120222023202420255 on 4/1/20195 on 5/6/20195 on 6/10/20195 on 6/12/20195 on 6/12/20196 on 10/31/20196 on 11/27/20196 on 1/2/20206 on 3/18/20206 on 5/18/20206 on 6/15/20206 on 9/2/20206 on 12/22/20206 on 3/30/20216 on 3/25/20226 on 10/26/20226 on 2/17/20236 on 2/17/20236 on 2/21/20236 on 3/31/20236 on 4/21/20236 on 5/11/20236 on 6/6/20236 on 1/5/20247 on 3/18/2024

RAUM, Historic

600M300M02019202020212022202320242025322441635 on 4/1/2019322441635 on 5/6/2019322441635 on 6/10/2019322441635 on 6/12/2019322441635 on 6/12/2019322441635 on 10/31/2019322441635 on 11/27/2019322441635 on 1/2/2020382569349 on 3/18/2020382569349 on 5/18/2020382569349 on 6/15/2020382569349 on 9/2/2020382569349 on 12/22/2020435810353 on 3/30/2021534001290 on 3/25/2022534001290 on 10/26/2022534001290 on 2/17/2023534001290 on 2/17/2023534001290 on 2/21/2023477311245 on 3/31/2023477311245 on 4/21/2023477311245 on 5/11/2023477311245 on 6/6/2023477311245 on 1/5/2024556559668 on 3/18/2024

No. Clients, Historic

2,0001,00002019202020212022202320242025333 on 4/1/2019333 on 5/6/2019333 on 6/10/2019333 on 6/12/2019333 on 6/12/2019333 on 10/31/2019333 on 11/27/2019333 on 1/2/20201060 on 3/18/20201060 on 5/18/20201060 on 6/15/20201060 on 9/2/20201060 on 12/22/2020404 on 3/30/2021309 on 3/25/2022309 on 10/26/2022309 on 2/17/2023309 on 2/17/2023309 on 2/21/2023313 on 3/31/2023313 on 4/21/2023313 on 5/11/2023313 on 6/6/2023313 on 1/5/2024343 on 3/18/2024

Holdings

From latest 13F, filed August 12th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
Abbvie COM 443K 3K –
Accenture COM 3M 11K –
ALERIAN MLP ETF ALERIAN MLP 223K 5K –
Alphabet A CAP STK CL A 4M 23K –
Alphabet C CAP STK CL C 2M 8K –
Altria Group COM 5M 111K –
Amazon COM 3M 13K –
ANTERO MIDSTREAM CORP COM COM 247K 17K –
APOLLO GLOBAL MGMT INC COM COM 209K 2K –
APOLLO TACTICAL INCOME FD INC COM COM 345K 24K –
Apple COM 10M 50K –
ARBOR REALTY TRUST INC COM COM 183K 13K –
BERKSHIRE HATHAWAY INC DEL CL B NEW CL B NEW 360K 884 –
BK OF AMERICA CORP 7.25CNV PFD L 7.25%CNV PFD L 203K 170 –
BLACKROCK CORPOR HI YLD FD INC COM COM 313K 32K –
BLACKROCK SCIENCE & TECHNOLOGY SHS SHS 298K 8K –
BLACKSTONE STRATEGIC CRED 2027 COM SHS BEN IN COM SHS BEN IN 227K 19K –
BROADCOM INC COM COM 557K 347 –
CENTRAL SECS CORP COM COM 215K 5K –
Cisco COM 6M 122K –
CME COM 279K 1K –
Cognizant Technology Solutions Corp COM 4M 57K –
COSTCO WHSL CORP NEW COM COM NEW 429K 504 –
Dave Inc. - Warrants COM 2K 66K –
Digital Realty Trust COM 262K 2K –
Dollar General COM 5M 36K –
DOUBLELINE INCOME SOLUTIONS FD COM COM 489K 39K –
Doubleline Shiller CAPE US Equity SHILLER CAPE U S 24M 853K –
DOUBLELINE YIELD OPPORTUNITIES COM COM 536K 34K –
ELI LILLY & CO COM COM 630K 695 –
ENCOMPASS HEALTH CORP COM COM 360K 4K –
ENERGY TRANSFER L P COM UT LTD PTN COM UT LTD PTN 395K 24K –
ENTERPRISE PRODS PARTNERS L P COM COM 370K 13K –
EXACT SCIENCES CORP COM COM 251K 6K –
EXXON MOBIL CORP COM COM 507K 4K –
FLAHERTY & CRUMRINE DYNAMIC PF SHS SHS 210K 11K –
Flowers Foods Inc. COM 3M 157K –
FS CREDIT OPPORTUNITIES CORP COMMON STOCK COMMON STOCK 112K 18K –
FS KKR CAP CORP COM COM 221K 11K –
Genpact COM 3M 106K –
Gilead Sciences COM 6M 84K –
GRAYSCALE BITCOIN TRUST SHS REP COM UT 408K 8K –
HANCOCK JOHN PREM DIVID FD COM SH BEN INT COM SH BEN INT 156K 13K –
Hewlett Packard Enterprise COM 646K 31K –
Home Depot COM 394K 1K –
Houlihan Lokey COM 6M 45K –
HP Inc. COM 2M 49K –
Huntington Ingalls COM 6M 25K –
International Business Machines COM 663K 4K –
INVESCO CURRENCYSHARES JAPANESE YEN TRUST JAPANESE YEN 1M 22K –
INVESCO QQQ TRUST SERIES I UNIT SER 1 373K 779 –
Invesco Russell 1000 Dynamic Multifactor RUSL 1000 DYNM 9M 180K –
Invesco S&P 500 Equal Weight Healthcare S&P500 EQL HLT 10M 333K –
Invesco S&P 500 Equal Weight Technology S&P500 EQL TEC 8M 211K –
Invesco S&P 500 GARP S&P 500 GARP ETF 613K 6K –
iShares Expanded Tech Sector ETF EXPND TEC SC ETF 612K 6K –
ISHARES JP MORGAN USD EMERGING MARKETS BOND ETF JPMORGAN USD EMG 259K 3K –
ISHARES MSCI EAFE ETF MSCI EAFE ETF 438K 6K –
iShares MSCI USA Equal Weight MSCI EQUAL WEITE 1M 16K –
iShares MSCI USA Min Vol Factor MSCI USA MIN VOL 13M 159K –
iShares Russell 1000 Growth RUS 1000 GRW ETF 9M 25K –
iShares Russell 1000 Value - ETF RUS 1000 VAL ETF 2M 10K –
iShares Russell 3000 RUSSELL 3000 ETF 316K 1K –
iShares Russell Mid-Cap RUS MID CAP ETF 604K 7K –
iShares Russell Mid-Cap Growth RUS MD CP GR ETF 603K 5K –
iShares Russell Top 200 Growth RUS TP200 GR ETF 2M 11K –
iShares S&P 100 S&P 100 ETF 2M 7K –
iShares S&P 500 CORE S&P500 ETF 3M 5K –
iShares S&P 500 Growth - ETF S&P 500 GRWT ETF 437K 5K –
ISHARES S&P 500 VALUE ETF S&P 500 VAL ETF 208K 1K –
iShares S&P Global 100 GLOBAL 100 ETF 673K 7K –
iShares S&P Mid-Cap - ETF CORE S&P MCP ETF 734K 13K –
iShares S&P Mid-Cap 400 Growth - ETF S&P MC 400GR ETF 319K 4K –
JOHNSON & JOHNSON COM COM 392K 3K –
JPMorgan Chase COM 988K 5K –
JPMORGAN EQUITY PREMIUM INCOME ETF EQUITY PREMIUM 556K 10K –
Juniper Networks COM 6M 166K –
KINDER MORGAN INC DEL COM COM 340K 17K –
Lockheed Martin COM 7M 16K –
MASTERCARD INCORPORATED CL A CL A 3M 6K –
MCDONALDS CORP COM COM 381K 1K –
Merck & Co COM 6M 47K –
Meta Platforms Inc. COM 924K 2K –
Microsoft COM 3M 7K –
MPLX LP COM UNIT REP LTD COM 488K 11K –
NEUBERGER BERMAN REAL ESTATE S COM COM 110K 33K –
NEW AMER HIGH INCOME FD INC COM NEW COM NEW 221K 30K –
NEXTERA ENERGY PARTNERS LP COM UNIT PART IN COM UNIT 255K 9K –
Novartis SPONSORED ADR 6M 52K –
NUVEEN PFD & INCOME OPPORTUNIT COM COM 413K 55K –
NUVEEN VRIABL RAT PFD & INM FD COM COM 216K 12K –
NVIDIA CORPORATION COM COM 349K 3K –
ONEOK INC NEW COM COM 263K 3K –
ORACLE CORP COM COM 291K 2K –
PepsiCo COM 380K 2K –
Pfizer Inc. COM 4M 128K –
PIMCO DYNAMIC INCOME FD SHS SHS 364K 19K –
PIMCO INCOME STRATEGY FD II COM COM 199K 28K –
PIONEER HIGH INCOME FUND INC COM COM 202K 27K –
PROCTER AND GAMBLE CO COM COM 1M 8K –
PROSHARES ULTRA QQQ PSHS ULTRA QQQ 286K 3K –
REAVES UTIL INCOME FD COM SH BEN INT COM SH BEN INT 207K 8K –
RLI CORP COM COM 422K 3K –
Ross Stores Inc. COM 4M 24K –
Schwab US Dividend Equity ETF US DIVIDEND EQ 10M 134K –
SPDR S&P 500 ETF TRUST TR UNIT 433K 795 –
SPDR S&P 500 FOSSIL FUEL RESERVES FREE ETF SPDR S&P 500 ETF 323K 7K –
SPDR S&P 600 Small Cap Growth S&P 600 SMCP GRW 432K 5K –
SURGERY PARTNERS INC COM COM 372K 16K –
Tesla COM 231K 1K –
TJX COS INC NEW COM COM 488K 4K –
T-Mobile US Inc. COM 321K 2K –
Trade Desk COM 257K 3K –
VanEck Morningstar Wide Moat MRNGSTR WDE MOAT 715K 8K –
Vanguard High Dividend ETF HIGH DIV YLD 6M 55K –
Vanguard Mid Cap Index MID CAP ETF 638K 3K –
Vanguard Mid-Cap Value MCAP VL IDXVIP 390K 3K –
Vanguard S&P 500 S&P 500 ETF SHS 3M 6K –
VANGUARD TOTAL STOCK MARKET ETF TOTAL STK MKT 714K 3K –
VIRTUS CONVERTIBLE & INC FD II COM COM 102K 35K –
VISA INC COM CL A COM CL A 1M 5K –
WALMART INC COM COM 215K 3K –
Wells Fargo COM 532K 9K –
WESTERN ASSET HIGH INCOME OPPO COM COM 194K 51K –