Richard B. Leake

FALCON WEALTH PLANNING

Oakbrook Terrace, IL 60181

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CRD#: 2240386

Professional summary

Richard Bartholomew Leake, CFP®, who also goes by Bart Leake, Richard B Leake, Richard Leake, is a registered financial advisor currently at FALCON WEALTH PLANNING, INC. located in Oakbrook Terrace, Illinois.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Richard has worked at 7 firms and has passed the Series 66, SIE, Series 34, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bart Leake | Richard B Leake | Richard Leake

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Richard Leake may offer life and health insurance products for customary commissions through Vantage Point Insurance, LLC: Appx 10% of his time during trading hours 2) BRL360 LLC: NOT INVESTMENT RELATED: 302 MEGAN ANN COURT, GENEVA, IL 60134: INCOME REPORTING PURPOSES: OWNER: START DATE 03/2024: 0 HOURS DURING SECURITIES TRADING HOURS: OWNER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Bartholomew Leake's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

July 15, 2025 - Present

FALCON WEALTH PLANNING, INC.

Office #1: 1 Trans Am Plaza Drive Suite 200, Oakbrook Terrace, IL 60181

RIA

CRD#: 174092

Oakbrook Terrace, IL

Past

April 4, 2025 - June 5, 2025

VANTAGE POINT FINANCIAL, LLC

RIA

CRD#: 305016

LISLE, IL

Past

August 19, 2024 - March 26, 2025

CADENCE PLANNING, LLC

RIA

CRD#: 319663

Geneva, IL

Past

April 6, 2023 - January 2, 2024

SULLIVAN MERMEL, INC.

RIA

CRD#: 146266

CHICAGO, IL

Past

July 16, 2021 - January 20, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Chicago, IL

Past

November 22, 2017 - July 30, 2021

TD AMERITRADE, INC.

CRD#: 7870

CHICAGO, IL

Past

April 20, 2017 - November 2, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ROLLING MEADOWS, IL

Past

March 7, 2017 - November 2, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ROLLING MEADOWS, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FALCON WEALTH PLANNING, INC.

CRD#: 174092 / SEC#: 801-112659

RIA

Registered Investment Advisory firm - (3/19/2018 Approved)

California

Registered Investment Advisory firm - (5/5/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(7/15/2025)

IAR

Illinois
(7/15/2025)

IAR

Texas
(7/15/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/19/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 34

Date: 6/4/2018

Retail Off-Exchange FOREX Examination

General Industry/Product Exam

Series 3

Date: 2/23/2018

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/7/2017

General Securities Representative Examination

Current Firm

FALCON WEALTH PLANNING, INC.

CRD#: 174092 / SEC#: 801-112659

RIA

Registered Investment Advisory firm - (3/19/2018 Approved)

California

Registered Investment Advisory firm - (5/5/2018 Terminated)

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Contact information

Main Address

3400 Inland Empire Blvd. Suite 100, Ontario, CA 91764

Mailing Address

Phone number

(855) 963-2526

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-FALCON WEALTH PLANNING, INC. (5/1/2025)

Regulatory assets under management

Total Number of Accounts	3,575
AUM (Assets Under Management)	$ 1,159,538,045

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Richard B. Leake

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Bartholomew Leake's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANTAGE POINT FINANCIAL, LLC

CADENCE PLANNING, LLC

SULLIVAN MERMEL, INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

FALCON WEALTH PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/19/2017

SIE

Date: 10/1/2018

Series 34

Date: 6/4/2018

Series 3

Date: 2/23/2018

Series 7

Date: 3/7/2017

Current Firm

FALCON WEALTH PLANNING, INC.

Contact information

SEC notice filing (31 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FALCON WEALTH PLANNING, INC.

TRUST BUT VERIFY

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