David J. Willeumier

STRATEGIC ASSET MANAGEMENT LLC.

East Dundee, IL 60118

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CRD#: 4782886

Professional summary

David J Willeumier, CFP®, who also goes by David John Willeumier, is a registered financial advisor currently at STRATEGIC ASSET MANAGEMENT LLC. located in East Dundee, Illinois and DEMPSEY LORD SMITH, LLC located in East Dundee, Illinois.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. David has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David John Willeumier

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.) DAVID WILLEUMIER & DW CAPITAL MANAGEMENT LLC - Insurance agent - Insurance sales - Schaumburg, IL - Since 07/2016 - Investment Related 2.) LEXINGTON LANE COACH HOUSE RESIDENTIAL ASSOC # 1 - board member, homeowners association - Schaumburg, IL since 2/2023 - Non Investment related. 3.) STRATEGIC ASSET MANAGEMENT, LLC - IAR SINCE 3/2021 - INVESTMENT RELATED 4.) GRADIENT - FIXED INDEXED ANNUITY - AGENT - 9/2023 5.) Holy Archangels Parish - Finance Council Member - no compensation 10/2025

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David J Willeumier'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

Experience

Current

March 10, 2021 - Present

STRATEGIC ASSET MANAGEMENT LLC.

Office #1: 206 North River Street, Ste 2b, East Dundee, IL 60118

RIA

CRD#: 306384

East Dundee, IL

Current

March 11, 2021 - Present

DEMPSEY LORD SMITH, LLC

Office #1: 206 N River St Ste 2b, East Dundee, IL 60118

RIA

CRD#: 141238

EAST DUNDEE, IL

Past

July 15, 2016 - March 11, 2021

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SCHAUMBURG, IL

Past

June 17, 2010 - March 10, 2021

RDA FINANCIAL NETWORK

RIA

CRD#: 147309

Schaumburg, IL

Past

June 16, 2010 - July 29, 2016

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

SCHAUMBURG, IL

Past

August 18, 2008 - May 7, 2010

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

METTAWA, IL

Past

August 18, 2008 - May 7, 2010

HSBC SECURITIES (USA) INC.

CRD#: 19585

METTAWA, IL

Past

February 2, 2007 - August 14, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BARRINGTON, IL

Past

December 14, 2006 - August 14, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BARRINGTON, IL

Past

June 2, 2004 - December 18, 2006

EDWARD JONES

CRD#: 250

SCHAUMBURG, 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".

STRATEGIC ASSET MANAGEMENT LLC.

CRD#: 306384 / SEC#: 801-120401

RIA

Registered Investment Advisory firm - (2/26/2021 Approved)

Iowa

Registered Investment Advisory firm - (3/1/2021 Terminated)

Minnesota

Registered Investment Advisory firm - (3/11/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/8/2021 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.

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

IAR

Illinois
(3/10/2021)

Illinois
(3/11/2021)

Minnesota
(3/11/2021)

Nebraska
(3/11/2021)

North Carolina
(9/14/2022)

Texas
(3/11/2021)

IAR

Texas
(3/26/2021)

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

IAR

Series 66

Date: 1/31/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/4/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/1/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

STRATEGIC ASSET MANAGEMENT LLC.

CRD#: 306384 / SEC#: 801-120401

RIA

Registered Investment Advisory firm - (2/26/2021 Approved)

Iowa

Registered Investment Advisory firm - (3/1/2021 Terminated)

Minnesota

Registered Investment Advisory firm - (3/11/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/8/2021 Terminated)

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Contact information

Main Address

2434 Superior Drive Nw Suite 101, Rochester, MN 55901

Mailing Address

Phone number

(888) 526-8755

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- STRATEGIC ASSET MANAGEMENT LLC. (2/28/2025)

Regulatory assets under management

Total Number of Accounts	633
AUM (Assets Under Management)	$ 124,399,526

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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Advisor Monitoring

Firm Stability Insights

David J. Willeumier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David J Willeumier's CRS (Customer Relationship Summary).

Certified licenses

Experience

DEMPSEY LORD SMITH, LLC

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RDA FINANCIAL NETWORK

CAMBRIDGE INVESTMENT RESEARCH, INC.

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

EDWARD JONES

Primary Firm SEC Registration

STRATEGIC ASSET MANAGEMENT LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/31/2007

Series 63

Date: 6/4/2004

SIE

Date: 10/1/2018

Series 7

Date: 6/1/2004

FINRA

Current Firm

STRATEGIC ASSET MANAGEMENT LLC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRATEGIC ASSET MANAGEMENT LLC.

TRUST BUT VERIFY

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