Simplex Trading, LLC

Broker-DealerFINRA MemberEst. 2010
Total AUM
Advisory reps
104
Avg account
$0

Firm details

Headquarters
Chicago, Illinois
CRD number
153585
Registered since
August 12, 2010

Firm profile

FINTRX

Overview

Simplex Trading, LLC is organized as a limited liability company and has been SEC-registered since 2010. Filings characterize the entity as unclassified and as a domestic owner type (domestic entity/individual). Public disclosures indicate the firm is not flagged as a capital allocator, is not an active ESG investor, and does not present itself as a multi-state or newly formed adviser. The available information and the firm’s large 13F footprint suggest it operates primarily as a trading or market-facing entity rather than a traditional advisory business focused on client relationships.

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 4
  • Joan Rockey

    Joan Rockey

    Chief Financial OfficerCRD 4562343

  • David Haufe

    David Haufe

    Chief Technology OfficerCRD 5939783

  • Erik Swanson

    Erik Swanson

    CEOCRD 5941677

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Contacts

3 of 100
  • Sharath Byakod

    Sharath Byakod

    Software EngineerCRD 8039965

  • Matthew Link

    Matthew Link

    Software EngineerCRD 8097285

  • Brett Rootberg

    Brett Rootberg

    Options TraderCRD 2653399

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 720

Active vs passive

$805M in ETFs

Passive

95%

$762M

Active

1%

$42.6M

ETFProviderStyleCategoryValueShares% of portfolio
SPDR S&P 500 ETF TRUST (SPY)State StreetPassiveLarge Blend$132M202,80616.39%

Location

Primary office

Chicago, IL

Cook

Location

Chicago, IL

Headquartered in Chicago, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.

Metro area
Chicago-Naperville, IL-IN-WI
Region
Midwest
County
Cook
Address
230 S La Salle St
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth