{ "path": "/advisors/il/chicago/for-retirement-plans", "url": "https://advisorcensus.com/advisors/il/chicago/for-retirement-plans/page/4", "page_type": "metro_answer", "title": "Financial advisors for retirement plans in Chicago, IL", "filters": {}, "scope_total": 237, "faq": [ { "q": "Which financial advisors in Chicago, IL work with retirement plans?", "a": "237 investment advisory firms with a principal office in the Chicago metro area report retirement plans among their clients on Form ADV Item 5.D, as of October 2026; this page lists them. Form ADV Item 5.D asks every registered adviser which types of clients it advises, with the number of each and the assets it manages for them; a firm appears here when it reports at least one." }, { "q": "How many financial advisory firms are there in Chicago, IL?", "a": "AdvisorCensus lists 1,071 investment advisory firms with a principal office in the Chicago metro area, from Form ADV filings as of October 2026: 635 SEC-registered, 299 state-registered, and 137 exempt reporting advisers. Firms may request removal, so the count can differ slightly from the number of firms that file Form ADV." }, { "q": "How many fee-only financial advisors are in Chicago, IL?", "a": "277 of the 1,071 firms meet AdvisorCensus's fee-only test: paid only by a percentage of assets, hourly charges, fixed fees, or subscription fees on Form ADV Item 5.E (no commissions, performance-based fees, or other compensation), with no sales-related compensation ties in the same filing: no employee registered with a broker-dealer or licensed as an insurance agent (Item 5.B), no brokerage, insurance, real estate, or other product sales business (Item 6.A), no related broker-dealer, insurance company, real estate broker, or futures commission merchant (Item 7.A), and no referral fees from others or other sales interest (Item 8). Form ADV has no fee-only box, so this is derived from the filing; it is not a fee-only certification, and a firm's own page lists its compensation arrangements as filed." }, { "q": "How many financial advisors in Chicago, IL offer financial planning?", "a": "465 of the 934 firms in Chicago, IL that answer Form ADV Item 5.G, which asks what advisory services a firm provides, report financial planning services, as of October 2026. Exempt reporting advisers do not answer Item 5.G. Each firm page lists every advisory service the firm reports." }, { "q": "Are the financial advisors in Chicago, IL fiduciaries?", "a": "Every firm on this page is an investment adviser that files Form ADV, and an investment adviser owes its clients a fiduciary duty under federal law, made up of a duty of care and a duty of loyalty: it must act in the client's best interest and not put its own interests ahead of the client's, and must eliminate its conflicts of interest or disclose them fully and fairly. Form ADV has no fiduciary box because the duty comes with being an investment adviser. The duty covers the firm's advice; a firm or its people may also sell securities through a broker-dealer or insurance as licensed agents, roles held to other standards. The 277 firms that meet AdvisorCensus's fee-only test report none of those sales ties." }, { "q": "How do I check whether a financial advisor has disciplinary disclosures?", "a": "Each firm page shows how many Form ADV Item 11 disciplinary questions the firm answered yes and links to the firm's record on the SEC's Investment Adviser Public Disclosure site (adviserinfo.sec.gov), where the detail of each disclosure is public. Individual advisers' records are on the same site and on FINRA BrokerCheck." }, { "q": "Does AdvisorCensus rate, verify, or recommend these firms?", "a": "No. The directory shows what each firm filed, in alphabetical order unless you choose another sort, and no firm's position depends on payment. Firms that claim their page can add a description and links, marked as provided by the firm; the filed facts are never changed by that content." }, { "q": "What does regulatory assets under management mean?", "a": "Regulatory assets under management (RAUM) is the figure a firm reports on Form ADV Item 5.F: the securities portfolios it provides continuous and regular supervisory or management services for, at market value, including assets managed without discretion. It measures scale, not performance or quality." } ], "period": "2026-10-01", "answer_paragraph": "AdvisorCensus lists 237 investment advisory firms with a principal office in the Chicago metro area that report retirement plans among their clients on Form ADV Item 5.D, from filings as of October 2026. Item 5.D asks each firm which types of clients it advises; reporting a client type means the firm serves it, not that it serves only that type. Firms are listed alphabetically; each firm's page lists its client types as filed.", "about_market": "Chicago has 1,071 investment advisory firms with a principal office in the metro area as of October 2026: 635 SEC-registered, 299 state-registered, and 137 exempt reporting advisers. 277 of them meet AdvisorCensus's fee-only test (paid only by client fees, with no sales-related compensation ties such as an employee registered with a broker-dealer or licensed as an insurance agent), and 266 report under $100 million in regulatory assets under management. The metro area has 3,643,783 households, 596,838 of them with income of $200,000 or more, or 557 such households for each firm (Census Bureau, American Community Survey 2020–2024 5-year estimates).", "citation": "AdvisorCensus. Financial advisors for retirement plans in Chicago, IL: 237 firms from Form ADV filings as of October 2026.", "total_firms": 237, "page": 4, "total_pages": 5, "sort": "name", "registration_types": { "sec": 190, "state": 47, "exempt": 0 }, "fee_model_mix": [ { "code": "fee-only", "count": 63 }, { "code": "percentage_of_aum", "count": 229 }, { "code": "hourly", "count": 105 }, { "code": "subscription", "count": 1 }, { "code": "fixed", "count": 151 }, { "code": "commissions", "count": 15 }, { "code": "performance_based", "count": 50 }, { "code": "other", "count": 33 }, { "code": "not_reported", "count": 0 } ], "years_registered_distribution": [ { "code": "under_5", "count": 51 }, { "code": "5_to_9", "count": 45 }, { "code": "10_to_19", "count": 56 }, { "code": "20_plus", "count": 85 }, { "code": "not_reported", "count": 0 } ], "raum_band_distribution": [ { "code": "under_25m", "count": 16 }, { "code": "25m_100m", "count": 29 }, { "code": "100m_500m", "count": 63 }, { "code": "500m_1b", "count": 23 }, { "code": "1b_5b", "count": 49 }, { "code": "over_5b", "count": 50 }, { "code": "not_reported", "count": 7 } ], "firms": [ { "crd_number": 306601, "name": "Neuberger Berman Loan Advisers II LLC", "name_as_filed": "NEUBERGER BERMAN LOAN ADVISERS II LLC", "url": "https://advisorcensus.com/firm/neuberger-berman-loan-advisers-ii-llc-chicago-il-306601", "city": "Chicago", "state": "IL", "years_registered": 6, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 324282, "name": "Neuberger Berman Loan Advisers IV LLC", "name_as_filed": "NEUBERGER BERMAN LOAN ADVISERS IV LLC", "url": "https://advisorcensus.com/firm/neuberger-berman-loan-advisers-iv-llc-chicago-il-324282", "city": "Chicago", "state": "IL", "years_registered": 3, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 285579, "name": "Neuberger Berman Loan Advisers LLC", "name_as_filed": "NEUBERGER BERMAN LOAN ADVISERS LLC", "url": "https://advisorcensus.com/firm/neuberger-berman-loan-advisers-llc-chicago-il-285579", "city": "Chicago", "state": "IL", "years_registered": 9, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 110739, "name": "New England Research & Management, Inc.", "name_as_filed": "NEW ENGLAND RESEARCH & MANAGEMENT, INC.", "url": "https://advisorcensus.com/firm/new-england-research-and-management-inc-chicago-il-110739", "city": "Chicago", "state": "IL", "years_registered": 47, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 123948, "name": "Newport Investment Advisors, Inc.", "name_as_filed": "NEWPORT INVESTMENT ADVISORS, INC.", "url": "https://advisorcensus.com/firm/newport-investment-advisors-inc-sycamore-il-123948", "city": "Sycamore", "state": "IL", "years_registered": 29, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 131763, "name": "North Shore Investment Consulting LLC", "name_as_filed": "NORTH SHORE INVESTMENT CONSULTING LLC", "url": "https://advisorcensus.com/firm/north-shore-investment-consulting-llc-wilmette-il-131763", "city": "Wilmette", "state": "IL", "years_registered": 6, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 117681, "name": "North Star Investment Management Corporation", "name_as_filed": "NORTH STAR INVESTMENT MANAGEMENT CORPORATION", "url": "https://advisorcensus.com/firm/north-star-investment-management-corporation-chicago-il-117681", "city": "Chicago", "state": "IL", "years_registered": 23, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 105780, "name": "Northern Trust Investments, Incorporated", "name_as_filed": "NORTHERN TRUST INVESTMENTS, INCORPORATED", "url": "https://advisorcensus.com/firm/northern-trust-investments-incorporated-chicago-il-105780", "city": "Chicago", "state": "IL", "years_registered": 37, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based", "other" ], "enhanced": false }, { "crd_number": 330088, "name": "Northwood Wealth Management, LLC", "name_as_filed": "NORTHWOOD WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/northwood-wealth-management-llc-schaumburg-il-330088", "city": "Schaumburg", "state": "IL", "years_registered": 2, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 155584, "name": "Nuveen Asset Management, LLC", "name_as_filed": "NUVEEN ASSET MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/nuveen-asset-management-llc-chicago-il-155584", "city": "Chicago", "state": "IL", "years_registered": 15, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 107066, "name": "Oak Ridge Investments, LLC", "name_as_filed": "OAK RIDGE INVESTMENTS, LLC", "url": "https://advisorcensus.com/firm/oak-ridge-investments-llc-chicago-il-107066", "city": "Chicago", "state": "IL", "years_registered": 36, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 333774, "name": "One Wild Life Advisors LLC", "name_as_filed": "ONE WILD LIFE ADVISORS LLC", "url": "https://advisorcensus.com/firm/one-wild-life-advisors-llc-chicago-il-333774", "city": "Chicago", "state": "IL", "years_registered": 1, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 321977, "name": "Organize, Protect & Grow Your Wealth, LLC", "name_as_filed": "ORGANIZE, PROTECT & GROW YOUR WEALTH, LLC", "url": "https://advisorcensus.com/firm/organize-protect-and-grow-your-wealth-llc-batavia-il-321977", "city": "Batavia", "state": "IL", "years_registered": 3, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 324320, "name": "Palo Duro Investment Partners, LP", "name_as_filed": "PALO DURO INVESTMENT PARTNERS, LP", "url": "https://advisorcensus.com/firm/palo-duro-investment-partners-lp-chicago-il-324320", "city": "Chicago", "state": "IL", "years_registered": 3, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 307977, "name": "Parkview Asset Management, Inc.", "name_as_filed": "PARKVIEW ASSET MANAGEMENT, INC.", "url": "https://advisorcensus.com/firm/parkview-asset-management-inc-oakbrook-terrace-il-307977", "city": "Oakbrook Terrace", "state": "IL", "years_registered": 4, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 145664, "name": "Pebble Valley Wealth Management", "name_as_filed": "PEBBLE VALLEY WEALTH MANAGEMENT", "url": "https://advisorcensus.com/firm/pebble-valley-wealth-management-western-springs-il-145664", "city": "Western Springs", "state": "IL", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 107310, "name": "Pekin Hardy Strauss, Inc.", "name_as_filed": "PEKIN HARDY STRAUSS, INC.", "url": "https://advisorcensus.com/firm/pekin-hardy-strauss-inc-chicago-il-107310", "city": "Chicago", "state": "IL", "years_registered": 36, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 335762, "name": "Pendulum Wealth Partners", "name_as_filed": "PENDULUM WEALTH PARTNERS", "url": "https://advisorcensus.com/firm/pendulum-wealth-partners-itasca-il-335762", "city": "Itasca", "state": "IL", "years_registered": 1, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 311735, "name": "Performance Wealth", "name_as_filed": "PERFORMANCE WEALTH", "url": "https://advisorcensus.com/firm/performance-wealth-hinsdale-il-311735", "city": "Hinsdale", "state": "IL", "years_registered": 5, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 116600, "name": "Pinnacle Financial Group LLC", "name_as_filed": "PINNACLE FINANCIAL GROUP LLC", "url": "https://advisorcensus.com/firm/pinnacle-financial-group-llc-western-springs-il-116600", "city": "Western Springs", "state": "IL", "years_registered": 16, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 160319, "name": "Planpilot", "name_as_filed": "PLANPILOT", "url": "https://advisorcensus.com/firm/planpilot-chicago-il-160319", "city": "Chicago", "state": "IL", "years_registered": 14, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 285899, "name": "PMG Wealth Management", "name_as_filed": "PMG WEALTH MANAGEMENT", "url": "https://advisorcensus.com/firm/pmg-wealth-management-hawthorn-woods-il-285899", "city": "Hawthorn Woods", "state": "IL", "years_registered": 4, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 305777, "name": "Polaris Wealth Management, LLC", "name_as_filed": "POLARIS WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/polaris-wealth-management-llc-flossmoor-il-305777", "city": "Flossmoor", "state": "IL", "years_registered": 6, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 310888, "name": "Polynomial Ventures", "name_as_filed": "POLYNOMIAL VENTURES", "url": "https://advisorcensus.com/firm/polynomial-ventures-willowbrook-il-310888", "city": "Willowbrook", "state": "IL", "years_registered": 4, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "other" ], "enhanced": false }, { "crd_number": 206517, "name": "Port Capital LLC", "name_as_filed": "PORT CAPITAL LLC", "url": "https://advisorcensus.com/firm/port-capital-llc-chicago-il-206517", "city": "Chicago", "state": "IL", "years_registered": 11, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 306913, "name": "Powers Financial Group, LLC", "name_as_filed": "POWERS FINANCIAL GROUP, LLC", "url": "https://advisorcensus.com/firm/powers-financial-group-llc-naperville-il-306913", "city": "Naperville", "state": "IL", "years_registered": 6, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 107269, "name": "PPM America Inc", "name_as_filed": "PPM AMERICA INC", "url": "https://advisorcensus.com/firm/ppm-america-inc-chicago-il-107269", "city": "Chicago", "state": "IL", "years_registered": 34, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based", "other" ], "enhanced": false }, { "crd_number": 133357, "name": "Promanage, LLC", "name_as_filed": "PROMANAGE, LLC", "url": "https://advisorcensus.com/firm/promanage-llc-chicago-il-133357", "city": "Chicago", "state": "IL", "years_registered": 21, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 307477, "name": "Quincy Wells Advisors, LLC", "name_as_filed": "QUINCY WELLS ADVISORS, LLC", "url": "https://advisorcensus.com/firm/quincy-wells-advisors-llc-chicago-il-307477", "city": "Chicago", "state": "IL", "years_registered": 6, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 324695, "name": "RAI Wealth", "name_as_filed": "RAI WEALTH", "url": "https://advisorcensus.com/firm/rai-wealth-naperville-il-324695", "city": "Naperville", "state": "IL", "years_registered": 3, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "fixed", "commissions" ], "enhanced": false }, { "crd_number": 338394, "name": "Rail-Splitter Capital Management LLC", "name_as_filed": "RAIL-SPLITTER CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/rail-splitter-capital-management-llc-winnetka-il-338394", "city": "Winnetka", "state": "IL", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 153641, "name": "RCM Wealth Advisors", "name_as_filed": "RCM WEALTH ADVISORS", "url": "https://advisorcensus.com/firm/rcm-wealth-advisors-chicago-il-153641", "city": "Chicago", "state": "IL", "years_registered": 11, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 314635, "name": "Retire Ready Inc", "name_as_filed": "RETIRE READY INC", "url": "https://advisorcensus.com/firm/retire-ready-inc-olympia-fields-il-314635", "city": "Olympia Fields", "state": "IL", "years_registered": 5, "raum_band": "not_reported", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 333576, "name": "Rise Investment Management, LLC", "name_as_filed": "RISE INVESTMENT MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/rise-investment-management-llc-chicago-il-333576", "city": "Chicago", "state": "IL", "years_registered": 1, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 109792, "name": "Roberts, Glore & Co.", "name_as_filed": "ROBERTS, GLORE & CO.", "url": "https://advisorcensus.com/firm/roberts-glore-and-co-deerfield-il-109792", "city": "Deerfield", "state": "IL", "years_registered": 42, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 3215, "name": "Romano Wealth Management", "name_as_filed": "ROMANO WEALTH MANAGEMENT", "url": "https://advisorcensus.com/firm/romano-wealth-management-evanston-il-3215", "city": "Evanston", "state": "IL", "years_registered": 40, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 728, "name": "Rothschild Investment", "name_as_filed": "ROTHSCHILD INVESTMENT", "url": "https://advisorcensus.com/firm/rothschild-investment-chicago-il-728", "city": "Chicago", "state": "IL", "years_registered": 55, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 162442, "name": "Rothschild Wealth LLC", "name_as_filed": "ROTHSCHILD WEALTH LLC", "url": "https://advisorcensus.com/firm/rothschild-wealth-llc-oakbrook-il-162442", "city": "Oakbrook", "state": "IL", "years_registered": 14, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "commissions", "performance_based" ], "enhanced": false }, { "crd_number": 298527, "name": "RPC Private Wealth, LLC", "name_as_filed": "RPC PRIVATE WEALTH, LLC", "url": "https://advisorcensus.com/firm/rpc-private-wealth-llc-hinsdale-il-298527", "city": "Hinsdale", "state": "IL", "years_registered": 7, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 109596, "name": "Rreef America L.L.C.", "name_as_filed": "RREEF AMERICA L.L.C.", "url": "https://advisorcensus.com/firm/rreef-america-l-l-c-chicago-il-109596", "city": "Chicago", "state": "IL", "years_registered": 28, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 121794, "name": "Savant Investment Advisers, Inc.", "name_as_filed": "SAVANT INVESTMENT ADVISERS, INC.", "url": "https://advisorcensus.com/firm/savant-investment-advisers-inc-homewood-il-121794", "city": "Homewood", "state": "IL", "years_registered": 4, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 145026, "name": "Sawyer Falduto Asset Management, LLC", "name_as_filed": "SAWYER FALDUTO ASSET MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/sawyer-falduto-asset-management-llc-elmhurst-il-145026", "city": "Elmhurst", "state": "IL", "years_registered": 19, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 305201, "name": "SC Wealth Advisors", "name_as_filed": "SC WEALTH ADVISORS", "url": "https://advisorcensus.com/firm/sc-wealth-advisors-oakbrook-terrace-il-305201", "city": "Oakbrook Terrace", "state": "IL", "years_registered": 7, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 122941, "name": "Sebold Capital Management, Inc", "name_as_filed": "SEBOLD CAPITAL MANAGEMENT, INC", "url": "https://advisorcensus.com/firm/sebold-capital-management-inc-lisle-il-122941", "city": "Lisle", "state": "IL", "years_registered": 13, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 106201, "name": "Security Capital Research & Management Incorporated", "name_as_filed": "SECURITY CAPITAL RESEARCH & MANAGEMENT INCORPORATED", "url": "https://advisorcensus.com/firm/security-capital-research-and-management-incorporated-chicago-il-106201", "city": "Chicago", "state": "IL", "years_registered": 29, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 335231, "name": "Seek & Find Financial", "name_as_filed": "SEEK & FIND FINANCIAL", "url": 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