David W. Ruths

IPI WEALTH MANAGEMENT

CHICAGO, IL 60611

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CRD#: 4067433

Professional summary

David Wayne Ruths JR, CFP®, who also goes by Dave Wayne Ruths Jr., is a registered financial advisor currently at IPI WEALTH MANAGEMENT, INC. located in Chicago, Illinois and INVESTMENT PLANNERS, INC. located in Chicago, Illinois.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. David has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 24, Series 10, Series 9 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Wayne Ruths Jr.

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-STOCKBRIDGE FINANCIAL LLC - 100 E WALTON ST #40D, CHICAGO, IL 60611 - TAX FILING & PREPARATION - OWNER/PRESIDENT - I STARTED THE FIRM 12/98 TO PRESENT - 20 TO 50 HRS./MONTH JAN. TO APRIL - O HRS./MONTH DURING TRADING HRS. - I HOLD THE MARKS OF CFP AND FILE TAXES. 2-CHICAGO BOARD OF ELECTIONS - REPUBLICAN ELECTION JUDGE - 11/08 - 69 W WASHINGTON ST #600/800 CHICAGO, IL; COMPENSATION ON ELECTION DAY, 140 HRS IN DURING ELECTION TIMES. 3-SCHLESINGER/FOCUS POINTE GLOBAL - FOCUS GROUP ATTENDEE - 01/14 - RECEIVES FEE FOR BEING FOCUS GROUP PARTICIPANT; 0-2 HRS PER MONTH / 0 DURING TRADING HOURS 4-US CENSUS WORK - DURING CENSUS YEARS - 12 HRS PER WEEK DURING 3 MONTH CENSUS TIME 5-Insurance sale of fixed and indexed product, 9/2008, 1 hours per week and 1/2 hour per week during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Wayne Ruths JR'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: 1999

Experience

Current

September 8, 2008 - Present

IPI WEALTH MANAGEMENT, INC.

Office #1: 100 E. Walton Street Suite #40 D, Chicago, IL 60611

RIA

CRD#: 111872

CHICAGO, IL

Current

September 15, 2008 - Present

INVESTMENT PLANNERS, INC.

CRD#: 18557

CHICAGO, IL

Past

October 26, 2001 - October 2, 2007

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

CHICAGO, IL

Past

October 1, 2000 - September 6, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

February 2, 2000 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

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".

IPI WEALTH MANAGEMENT, INC.

CRD#: 111872 / SEC#: 801-56878

RIA

Registered Investment Advisory firm - (11/1/1999 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/4/2010)

IAR

Illinois
(9/8/2008)

Illinois
(9/15/2008)

Indiana
(6/4/2019)

North Carolina
(12/5/2008)

Wisconsin
(1/15/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/8/2000

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/10/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/12/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/1/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/12/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 11/21/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/20/2000

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 26

Date: 3/24/2000

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

IPI WEALTH MANAGEMENT, INC.

CRD#: 111872 / SEC#: 801-56878

RIA

Registered Investment Advisory firm - (11/1/1999 Approved)

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Contact information

Main Address

226 W. Eldorado, Decatur, IL 62522

Mailing Address

P.o. Box 170, Decatur, IL 62525-0170

Phone number

(217) 425-6340

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (47 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IPI WEALTH MANAGEMENT ADV2A (6/9/2025)

Regulatory assets under management

Total Number of Accounts	10,743
AUM (Assets Under Management)	$ 2,248,994,441

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

David W. Ruths

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Wayne Ruths JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTMENT PLANNERS, INC.

WATERSTONE FINANCIAL GROUP, INC.

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

IPI WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/8/2000

Series 65

Date: 12/10/1999

SIE

Date: 10/1/2018

Series 7

Date: 6/12/2000

Series 6

Date: 2/1/2000

Series 24

Date: 12/12/2000

Series 10

Date: 11/21/2000

Series 9

Date: 10/20/2000

Series 26

Date: 3/24/2000

FINRA

Current Firm

IPI WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (47 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IPI WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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