Rik W. Duryea

ALLEY COMPANY

Lake Forest, IL 60045

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CRD#: 2310257

Professional summary

Rik Willis Duryea, who also goes by Duryea, is a registered financial advisor currently at ALLEY COMPANY located in Lake Forest, Illinois.

Rik is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Rik has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Duryea

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rik Willis Duryea'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®

None

Experience

Current

January 3, 2022 - Present

ALLEY COMPANY

Office #1: 272 Market Square Suite 214, Lake Forest, IL 60045

RIA

CRD#: 317544

Lake Forest, IL

Past

March 21, 2011 - January 3, 2022

ALLEY COMPANY, LLC

RIA

CRD#: 112702

LAKE FOREST, IL

Past

October 20, 1995 - December 8, 1999

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

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".

ALLEY COMPANY

ALLEY COMPANY | ALLEY INVESTMENT MANAGEMENT COMPANY, LLC

CRD#: 317544 / SEC#: 801-122856

RIA

Registered Investment Advisory firm - (12/16/2021 Approved)

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

Illinois
(1/3/2022)

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

Series 63

Date: 10/16/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/7/1995

General Securities Representative Examination

Current Firm

ALLEY COMPANY

ALLEY COMPANY | ALLEY INVESTMENT MANAGEMENT COMPANY, LLC

CRD#: 317544 / SEC#: 801-122856

RIA

Registered Investment Advisory firm - (12/16/2021 Approved)

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Contact information

Main Address

272 Market Square Suite 214, Lake Forest, IL 60045

Mailing Address

Phone number

(847) 482-0938

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALLEY INVESTMENT MANAGEMENT COMPANY, LLC PART 2A BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	455
AUM (Assets Under Management)	$ 843,699,361

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/19/2025	Cover Page	Report
11/27/2024	Cover Page	Report
10/30/2023	Cover Page	Report

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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Rik W. Duryea

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rik Willis Duryea's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLEY COMPANY

ALLEY COMPANY, LLC

PIPER SANDLER & CO.

Primary Firm SEC Registration

ALLEY COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 10/16/1995

Series 7

Date: 8/7/1995

Current Firm

ALLEY COMPANY

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLEY COMPANY

TRUST BUT VERIFY

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