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Lisa Roberts

Director at Wilmington Funds Management

No current adviser or broker registrationSEC record checked 18 October 2026

6
Past adviser firms
4
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Lisa Roberts is Director of Wilmington Funds Management Corporation, a Wilmington investment adviser managing $16.1B. Lisa Roberts has past investment-adviser registrations through 6 firms and has passed the Series 7, Series 66, Series 24 and SIE.

Role at Wilmington Funds Management

Title on Schedule A
Director
Control
Lisa Roberts is a control person of Wilmington Funds Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Lisa Roberts has held the filed role since June 2025.

The firm

Wilmington Funds Management Corporation
Wilmington, DE

Form ADV filed 30 March 2026

$16.1B AUM10 clients34 advisers2 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Unionbanc Investment Services, LLC
    – · 6 years
    San Francisco, CA · Adviser representative · Firm CRD 14455
  3. Freestone Capital Management, LLC
    – · 1 year
    San Francisco, CA · Adviser representative · Firm CRD 145711
  4. Citigroup Global Markets Inc.
    – · 5 years
    San Francisco, CA · Adviser representative · Firm CRD 7059
  5. Merrill Lynch, Pierce, Fenner & Smith Incorporated
    – · 1 year
    San Francisco, CA · Adviser representative · Firm CRD 7691
  6. Passed Series 24 · 2008
  7. Banc Of America Investment Services, Inc.
    – · 2 years
    San Francisco, CA · Adviser representative · Firm CRD 16361
  8. Wells Fargo Investments, LLC
    – · 1 year
    Denver, CO · Adviser representative · Firm CRD 10582
  9. Wells Fargo Investments, LLC
    – · under a year
    Denver, CO · Adviser representative · Firm CRD 10582
  10. Passed Series 66 · 2004
  11. Passed Series 7 · 2002

Registrations and exams

No current adviser or broker registration. Lisa Roberts has passed 4 qualifying exams.

Examinations

Series 6616 November 2004
Name
Uniform Combined State Law Examination
Series 248 August 2008
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 725 November 2002
Name
General Securities Representative Examination

Individual record

Full name
Lisa J Roberts
CRD
4573450
Firm
Wilmington Funds Management Corporation
Registration status
No current adviser or broker registration
Firm bio
wilmingtontrust.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Wilmington Trust identifies Lisa Roberts as Head of Wealth Management and says she leads its wealth management business. The biography lists an MBA from Capital University and a bachelor’s degree in finance from Indiana University. Official firm biography

Education

Common questions

Where does Lisa Roberts work?

Lisa Roberts has been Director of Wilmington Funds Management Corporation since June 2025, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 March 2026

Does Lisa Roberts have a current investment-adviser registration?

Lisa Roberts has no current investment-adviser or broker registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Lisa Roberts passed?

Lisa Roberts has passed 4 licensing exams: the Series 7, Series 66, Series 24 and SIE. The earliest, the Series 7, was passed in November 2002.

Source: IAPD individual record, checked 18 October 2026

Where was Lisa Roberts previously registered as an investment adviser?

Lisa Roberts has past investment-adviser registrations through Unionbanc Investment Services, LLC, December 2016 to April 2023; Freestone Capital Management, LLC, November 2015 to June 2016; Citigroup Global Markets Inc., June 2010 to October 2015; Merrill Lynch, Pierce, Fenner & Smith Incorporated, October 2009 to May 2010; Banc Of America Investment Services, Inc., December 2007 to October 2009; Wells Fargo Investments, LLC, April 2007 to December 2007; Wells Fargo Investments, LLC, December 2004 to May 2005, across 6 firms.

Source: IAPD individual record, checked 18 October 2026

Leadership at Wilmington Funds Management

  • Edna Warren
    Chair of the Board and Chief Executive Officer
  • Andrew Baldauf
    Executive Vice President and Chief Compliance Officer
  • Matthew Glaser
    Executive Vice President, Head of Equity and Non-Traditional Investments
  • John Kelley
    President
  • John McDonnell
    Senior Vice President, Chief Operations Officer, and Assistant Secretary
  • Anthony Roth
    Senior Executive Vice President, Chief Investment Officer and Director
  • Luke Tilley
    Executive Vice President & Chief Economist
  • Randy Vogel
    Executive Vice President & Head of Fixed Income
  • Gerald Baker
    Director
  • Michael Keane
    Director

Sources

  1. IAPD individual record, CRD 4573450. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Wilmington Funds Management Corporation, filed 30 March 2026. Title, control and ownership bands.
  3. Wilmington Funds Management team page. Biography, education, credentials, awards.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Lisa Roberts or Wilmington Funds Management Corporation and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.