# Loop Capital Markets LLC

> Loop Capital Markets LLC is a state-registered investment advisory firm in Chicago, IL, registered since 2012, with no regulatory assets under management reported in its Form ADV filing dated March 17, 2026.

- CRD: 43098
- Filed as: LOOP CAPITAL MARKETS LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Chicago, IL
- Filing period: October 2026
- Form ADV filing dated: March 17, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/43098
- AdvisorCensus page: https://advisorcensus.com/firm/loop-capital-markets-llc-chicago-il-43098

## Quick answers

**How is Loop Capital Markets LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Loop Capital Markets LLC reports these compensation arrangements: fixed fees (other than subscription fees); commissions; other.

**Where is Loop Capital Markets LLC located?**
Loop Capital Markets LLC's principal office is in Chicago, IL, according to its Form ADV.

**Is Loop Capital Markets LLC registered with the SEC or a state?**
Loop Capital Markets LLC is a state-registered investment advisory firm, registered since 2012. Status as filed: APPROVED. CRD 43098.

**What types of clients does Loop Capital Markets LLC serve?**
By number of clients on Form ADV Item 5.D: state or municipal government entities (including government pension plans) (10); other investment advisers (5).

**Does Loop Capital Markets LLC report any disciplinary disclosures?**
Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), and 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/43098

## From the Form ADV filing

### Compensation (Item 5.E)
- Fixed fees (other than subscription fees)
- Commissions
- Other

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Not reported | $0 |
| State or municipal government entities (including government pension plans) | 10 | $0 |
| Other investment advisers | 5 | $0 |

### Advisory services (Item 5.G)
- Security ratings or pricing services
- Other

### Firm details
- Registered since: 2012 (14 years)
- Employees: 250 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: IL
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/43098

### Websites listed on Form ADV (Item 1.I)
- loopcapital.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Loop Capital Markets LLC (CRD 43098): Form ADV filing data as of October 2026.