SEC-registered wealth management firm Broker-dealer affiliated
Willis Towers Watson Securities, LLC
As of its Form ADV filed September 15, 2026, Willis Towers Watson Securities, LLC, an SEC-registered, broker-dealer affiliated wealth management firm in Chicago, Illinois, reported no regulatory assets under management.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 317602
- SEC file number
- 801-137326
- Registered since
- September 17, 2026
- Latest Form ADV filing
- September 15, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $0
- Discretionary
- $0
- Non-discretionary
- $0
- Accounts
- 0 (0 discretionary)
- Clients
- 0, approximate as reported
- Employees
- 5
- Advisory staff
- 0 performing investment advisory functions
- Average account
- Not reported
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- Not reported
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
| Ranking | Nationally | In Illinois | Value |
|---|---|---|---|
| Wealth firms with the most CFP professionals, including broker-dealer firms | #3,890 | #175 | 1 |
| Newest wealth firms, including broker-dealer firms | #1,137 | #43 | $0 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 2, 2026 | $0 |
Clients and services
Client mix
No client types reported.
How the firm is paid
- A percentage of assets under management
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
Financial planning clients (Item 5.H): 0.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Other investment adviser
- Insurance company or agency
- Pension consultant
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 7
- Also registered through a broker-dealer
- 2
- Employees who are IARs (Form ADV 5.B(3))
- 2
Designations held by the firm's IARs: CFA 1, CFP 1, ChFC 1.
Between 5 and 7 of the firm's 7 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Illinois
| Firm | City | RAUM |
|---|---|---|
| Madison LaSalle Advisers LLC | Chicago | $0 |
| CMK Partners, LLC | Chicago | $0 |
| Museum Park Capital | Chicago | $0 |
| Toft Wealth, LLC | Normal | $0 |
| Lakeshore Private Office LLC | Chicago | $0 |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Willis Towers Watson Securities, LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.viaretirement.com
- Wealth management firms in Illinois
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.