WINTRUST INVESTMENTS
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WINTRUST INVESTMENTS
(CRD# 875)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Chicago, IL.
The SEC approved the firm to operate as an RIA in
May 2005.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$7.4 Billion,
with discretion over
60%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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WINTRUST INVESTMENTS
also reported in
Mar 2019
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226
employees,
with
140
performing advisory functions.
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A total of 68 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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WINTRUST INVESTMENTS has one or more disclosure events currently on file with the SEC.
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WINTRUST INVESTMENTS has Notice Filings with the following State Securities Authorities:
AK-Mar 2013, AL-Jan 2008, AR-Jan 2008, AZ-Jan 2008, CA-Mar 20
, CO-Mar 2006, CT-Jan 2008, DC-Jan 2008, DE-Mar 2013, FL-Jun 2
, GA-Jan 2008, HI-Jan 2008, IA-Mar 2006, ID-Mar 2013, IL-May 2
, IN-May 2005, KS-Jan 2008, KY-Jan 2008, LA-Jan 2008, MA-May 2
, MD-Jan 2008, ME-Mar 2013, MI-Mar 2006, MN-Feb 2008, MO-Jan 2
, MS-Mar 2013, MT-Jan 2008, NC-Jan 2008, ND-Jul 2008, NE-Jan 2
, NH-Mar 2013, NJ-Mar 2006, NM-Jan 2008, NV-May 2005, NY-Jan 2
, OH-Jan 2008, OK-Mar 2006, OR-Jan 2008, PA-Jan 2008, RI-Mar 2
, SC-Jan 2008, SD-Mar 2013, TN-Jan 2008, TX-May 2005, UT-Mar 2
, VA-Jan 2008, VT-Mar 2013, WA-Jan 2008, WI-Sep 2005, WV-Mar 2
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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