SourcingSourcing

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

C44
CRD 299595·SEC 801-114386·HIGHLAND PARK, IL
AUM
$732.2M
$500M-$1B
Est. Revenue
$7.3M
@ 1% on AUM
Est. EBITDA
$2.2M
@ 30% margin
Est. Deal Value
$17.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC
CRD
299595
SEC file #
801-114386
EIN
—
DBA names
—

Economics

AUM
$732.2M
AUM band
$500M-$1B
AUM trajectory
'20'26
$322.4M → $732.2M▲ +127%
Client mix
Individuals Other321
Individuals High Net Worth43
Pension Profit Sharing Plans4
Other1

Operations

Employees (total)
8
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'20'26
5 advisors → 5 advisors▬ 0%
Primary office
HIGHLAND PARK IL
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUM

Filings

Latest ADV filing
03/06/2026
ADV-W filed at
—
Website
wlpwm.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
KLIEGER, HOWARD, ROBERT
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
4
Control Persons
KLIEGER, HOWARD, ROBERT
COOPER, NOEL, ADAM
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
WLPWM.COM
Rdap Domain Creation Date
2021-10-21T13:58:54Z
Rdap Firm Age Years
5
Rdap Firm Age Band
5-10y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Fidelity4
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2033-10-21T13:58:54Z
Rdap Domain Last Changed
2024-10-14T15:00:50Z
Rdap Nameservers
Ns51.domaincontrol.comNs52.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
1020955
Trust Company Affiliate
No

People (6)

6
KLIEGER, HOWARD, ROBERT
IAR · Direct Owner · 62.5%
1020955
COOPER, NOEL, ADAM
IAR · Direct Owner · 37.5%
3175789
WALTERS, ZACHARY, HAROLD
IAR · Direct Owner · 7.5%
5157083
SADZEWICZ, GERY, JOSEPH
Executive Officer · 2.5%
1090963
BLAKE S SCIERA
IAR
8214945
LOUIS BURTON KLIEGER
IAR
6521252