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MA

Michael J. Adler

ROTHSCHILD WEALTH LLC
Oakbrook, IL 60523
Some features on this profile are disabled
CRD#: 5921718
MA

Professional summary

Michael J Adler, CFP®, who also goes by Michael J. Adler, is a registered financial advisor currently at ROTHSCHILD WEALTH LLC located in Oakbrook, Illinois and ROTHSCHILD INVESTMENT LLC located in Chicago, Illinois.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Michael has worked at 5 firms and has passed the Series 66, Series 3, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Michael J. Adler

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.
Rothschild Investment, LLC is located at 311 S. Wacker Dr Ste 5900 Chicago IL, 60606. Investment related. Start date 7/28/2025. 20 hours per month during securities trading hours. Mr. Adler is a registered representative of Rothschild Investment, LLC a broker-dealer affiliated with Rothschild Wealth and a member of FINRA. In this capacity, Mr. Adler may provide securities brokerage services and implement securities transactions under a commission-based arrangement. Mr. Adler is a licensed insurance agent with various insurance companies and, in such capacity, may recommend, on a fully disclosed commission basis, the purchase of certain insurance products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael J Adler'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: 2017

Experience

Current

July 31, 2025 - Present

ROTHSCHILD WEALTH LLC

Office #1: 700 Commerce Drive Suite 170, Oakbrook, IL 60523
RIA
CRD#: 162442
Oakbrook, IL
Current

July 31, 2025 - Present

ROTHSCHILD INVESTMENT LLC

Office #1: 311 S. Wacker Drive Suite 5900, Chicago, IL 60606-6618
RIA
BD
CRD#: 728
Chicago, IL
Past

January 4, 2021 - August 18, 2025

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
DEERFIELD, IL
Past

October 17, 2011 - August 18, 2025

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA
CRD#: 106693
DEERFIELD, IL
Past

July 25, 2011 - January 4, 2021

MERCER ALLIED COMPANY, L.P.

BD
CRD#: 37404
DEERFIELD, 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".
RW
ROTHSCHILD WEALTH LLC
REYNOLDS WEALTH, LLC | SENTINUS, LLC | ROTHSCHILD WEALTH LLC

CRD#: 162442 / SEC#: 801-74818

RIA
Registered Investment Advisory firm - (4/16/2012 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.
RR
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

RR
Arizona
(7/31/2025)
RR
California
(7/31/2025)
RR
Florida
(7/31/2025)
RR
Illinois
(7/31/2025)
IAR
Illinois
(7/31/2025)
RR
Indiana
(7/31/2025)
RR
Massachusetts
(7/31/2025)
RR
Nevada
(7/31/2025)
RR
North Carolina
(7/31/2025)
RR
South Dakota
(7/31/2025)
RR
Texas
(7/31/2025)
RR
Washington
(7/31/2025)
RR
Wyoming
(7/31/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/14/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 12/14/2020
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/22/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RW
ROTHSCHILD WEALTH LLC
REYNOLDS WEALTH, LLC | SENTINUS, LLC | ROTHSCHILD WEALTH LLC

CRD#: 162442 / SEC#: 801-74818

RIA
Registered Investment Advisory firm - (4/16/2012 Approved)
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Contact information

Main Address
700 Commerce Drive Suite 170, Oakbrook, IL 60523
Mailing Address
Phone number
(630) 448-5711
Established
Firm type
Fiscal year end
# of Employees
22

SEC notice filing (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ROTHSCHILD WEALTH ADV PART 2A (4/29/2025)

Regulatory assets under management

Total Number of Accounts2,878
AUM (Assets Under Management)$ 751,143,585

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.

Company Information

ROTHSCHILD WEALTH LLC

CRD#: 162442Oakbrook, IL 60523

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