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InvestorTrustHub · Illinois

Illinois Investment Adviser Intelligence

The Illinois Secretary of State, Securities Department, regulates securities registration and related actors. This page organizes separate research lenses from accepted IAPD compilations and official Illinois SOS paths. It does not rank advisers, score firms, or publish a Trust Score. An Illinois principal office is not Illinois state registration. Illinois registration is not SEC registration. Firm is not individual. Notice filing is not state IA. ERA is not an RIA.

We organize the evidence. You decide.

Research IL-headquartered SEC/IARD firmsVerify on IAPD

State of the record

Universe · Current · State ERA · Notice · As-of

793

Universe

SEC/IARD roster firms with an Illinois principal office. Not the state-RIA roster.

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Source. SEC IARD firm compilation / reconciled roster geography

Source date. 2026-08-27

Coverage. National roster overlay

Grain. SEC IARD roster firm with principal-office region = IL

Calculation. COUNT of roster firms with principal-office region IL = 793. Raw compilation MainAddr=@State=IL = 798 is a different extract.

Caveat. This is the national SEC/IARD roster overlay for firms that report an Illinois principal office on the reconciled 23,622-firm geography table (IL = 793). It is not the Illinois state-registered adviser universe, not a federal-covered notice-filing count, and not proof of current Illinois Securities Department authority. ILLINOIS PRINCIPAL OFFICE != ILLINOIS STATE REGISTRATION. These 793 firms already exist in the federal graph and are not net-new organizations. A raw compilation MainAddr=@State=IL count is a different extract and is not this overlay.

855

Current

Illinois state-registered investment-adviser firms (IAPD state compilation, APPROVED).

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Source. https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_FIRM_STATE_Feed_08_27_2026.xml.gz

Source date. 2026-08-27

Coverage. ACQUIRED_IAPD_STATE_COMPILATION

Grain. state-registered investment adviser firm; registration jurisdiction = IL

Calculation. 855 Illinois StateRgstn rows; 855 distinct firm CRDs; 855 APPROVED; 0 TERMREQUEST. Filter is Rgltr/@Cd=IL, not address.

Caveat. IAPD state compilation firms with Illinois as the registration jurisdiction and status APPROVED. This is IARD-derived state registration evidence, not a separately acquired Illinois SOS bulk roster. It is not an SEC RIA count, not a federal-covered notice-filing count, not an ERA count, and not the 793 principal-office overlay. Duplicate/multi-jurisdiction rows were collapsed to distinct firm CRD. State-only CRDs were not minted as public SEC firm profiles and were not added to the 23,622 SEC/IARD roster. The ILSOS registration search covers business brokers and loan brokers, not investment advisers.

55

State ERA

Illinois state ERA reporting firms. ERA is not an RIA.

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Source. IA_FIRM_STATE_Feed_08_27_2026

Source date. 2026-08-27

Coverage. ACQUIRED_IAPD_STATE_COMPILATION

Grain. Illinois state ERA reporting firm; ERA/Rgltr/@Cd=IL; distinct firm CRD

Calculation. 55 registration rows; 55 distinct firm CRDs; 55 ACTIVE; overlap with Illinois state IA = 0.

Caveat. State ERA reporting is not an Illinois state RIA and is not an SEC RIA. Overlap with state IA is zero in this extract.

3,560

Notice

SEC/IARD firms with an Illinois notice filing. Not state-RIA licensure.

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Source. IA_FIRM_SEC_Feed_08_27_2026

Source date. 2026-08-27

Coverage. ACQUIRED_IAPD_SEC_COMPILATION

Grain. NoticeFiled/States/@RgltrCd=IL and status FILED

Calculation. 3560 notice rows; 3560 distinct CRDs with status FILED. Overlap with approved state IA = 1.

Caveat. Federal-covered / notice-filed is not Illinois state-RIA licensure. Notice-filed is not the 793 principal-office overlay. An Illinois principal office does not prove a current notice filing.

2026-08-27

As-of

IAPD compilations IA_FIRM_SEC_Feed_08_27_2026. Retrieval time is not sourceAsOf.

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Source. Committed IL-INV-001 public snapshot

Source date. 2026-09-12

Coverage. Deterministic generator

Grain. snapshot

Calculation. Fingerprint 997728ec50c9a913…

Caveat. Numbers on this page must match the generated snapshot. Retrieval time is not sourceAsOf.

Illinois SOS registration context

Illinois investment-adviser firms register through IARD. The ILSOS registration search is for business brokers, business-broker representatives, business opportunities, and loan brokers — not the investment-adviser universe. Current IA verification is IAPD. Do not infer Illinois authority from address, principal office, or name match.

Always verify current official records. This is not legal advice and does not determine whether any particular adviser must register.

Current verification paths

Current firm status comes from accepted IAPD/SEC data or official current IAPD, BrokerCheck, or Illinois SOS guidance. Interactive search was not enumerated. Search-only is not zero.

Illinois SOS enforcement research path

Illinois SOS Administrative Actions are mixed securities matters (issuers, dealers, advisers, individuals, and other actors) published as monthly PDFs and a developing search. No bounded CRD-bearing enforcement table was acquired. Complete Illinois securities-enforcement count is UNKNOWN, not zero. Missing census is not zero enforcement activity. This ticket attached zero exact CRD records and downloaded zero PDFs; those are execution counts, not an Illinois action census. Name-only attachment is unsafe. Administrative action is not an investment-adviser disciplinary census. Order is not a criminal conviction. Consent is not an admission unless the source says so. Fine is not investment loss. No action found is not a clean record.

Coverage: PUBLIC_RESEARCH_PATH. Complete SOS regulatory-activity count is unknown — not zero. This ticket attached 0 exact CRD records and opened 0 PDFs; those are execution counts, not an SOS action census. Name-only is unsafe. No action found is not a clean record.

Illinois SOS Administrative Actions

What this page does not mean

  • 55 Illinois state ERA reporting firms are a separate source-defined class from the 855 approved Illinois state-registered IA firms. ERA is not an RIA.
  • It does not say Illinois has one investment-adviser total.
  • Chicago and Cook County are not InvestorTrustHub routes.
  • RAUM is not performance. Complaint is not a violation. SOS action is not an IA disciplinary census.
  • Search-only is not zero. No Trust Score. No ranking.