Spiderrock Advisors, LLC
Registered investment adviser · Chicago, IL · CRD #171992
Form ADV data as of 2026-09-01Regulatory assets
$9.83 billion
Total accounts
4,480
Employees
61
Disclosure events
7
Firm details
- Website: http://www.spiderrockadvisors.com
- Telephone: (312) 847-0300
- SEC file number: 801-80178
- Most recent Form ADV filing: 2026-03-31
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 6 disclosure questions answered Yes, covering 7 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- SEC or CFTC found a violation of its regulations or statutes
- SEC or CFTC entered an order in connection with investment-related activity
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
- Another regulator entered an order in connection with investment-related activity (past 10 years)
- Currently subject to a regulatory proceeding that could result in a disclosure under 11.C., 11.D., or 11.E.
- Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $9.83 billion |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $9.83 billion |
| Discretionary accounts | 4,480 |
| Non-discretionary accounts | 0 |
| Total accounts | 4,480 |
| Regulatory assets under management attributable to non-U.S. persons | $44.5 million |
People
| Total employees (excluding clerical) | 61 |
| Employees performing investment advisory functions (including research) | 43 |
| Employees who are registered representatives of a broker-dealer | 12 |
| Employees registered as investment adviser representatives with a state | 16 |
| Employees registered as IARs for another investment adviser | 16 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 1 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| Client funds and securities held in a related person's custody | $0 |
| Clients for whom a related person has custody | 0 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Brokers or dealers selected under 8.C.(3) are related persons
- Recommends brokers or dealers to clients
- Brokers or dealers recommended under 8.E. are related persons
- Compensates a non-employee for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 2,339 | $1.38 billion |
| High net worth individuals | 1,961 | $7.02 billion |
| Pooled investment vehicles (other than investment companies and BDCs) | 1 | $11.6 million |
| Pension and profit sharing plans (not the participants or government plans) | 4 | $10.0 million |
| Charitable organizations | 9 | $28.9 million |
| Sovereign wealth funds and foreign official institutions | 1 | $10.0 million |
| Corporations or other businesses not listed above | 165 | $1.38 billion |