UHLMANN INVESTMENT MANAGEMENT, L.L.C.
Adviser information for UHLMANN INVESTMENT MANAGEMENT, L.L.C. last updated from Form ADV on March 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Illinois, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 9 |
| Registered State Investment Advisers | 9 |
| Licensed Agents of an Insurance Company | 6 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 346 | $190.6M |
| Non-Discretionary | 84 | $46.5M |
| Total | 430 | $237.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 209 | $42.3M |
| HNW Individuals | 204 | $173.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 14 | $12.9M |
| Charitable organizations | <5 | $8.0M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $905,589 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Principal Office
5202 OLD ORCHARD ROADSUITE 250
SKOKIE
IL
United States
Monday - Friday, 8AM TO 5PM
Tel: 312-264-4400, Fax: 312-264-4401
Websites
Chief Compliance Officer
MICHAEL DUNNE
CCO
5202 OLD ORCHARD ROAD
SUITE 250
SKOKIE
IL
United States
Tel:
3122483988
Fax:
312-264-4401
M*****@***************M
(Full email address available in API data)
Regulatory Contact
CINDY KELLY
CCO
5202 OLD ORCHARD ROAD
SUITE 250
SKOKIE
IL
United States
Tel:
3122644402
Fax:
312-264-4401
C*****@***************M
(Full email address available in API data)
Industry Affiliates
| UHLMANN PRICE SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BAER, JAMES, DANA | Individual | – | PRESIDENT | 04/2001 | < 5% |
| UHLMANN PRICE SECURITIES, LLC | Domestic Entity | – | OWNER | 12/2003 | > 75% |
| UPS HOLDINGS, L.L.C. | Domestic Entity | UHLMANN PRICE SECURITIES, LLC | HOLDING COMPANY | 01/2018 | > 75% |
| KONN, ALAN, ROBERT | Individual | – | MANAGING MEMBER | 08/2007 | < 5% |
| BAER, JAMES, DANA | Individual | UPS HOLDINGS, L.L.C. | MEMBER | 11/2017 | 25-50% |
| KONN, ALAN, ROBERT | Individual | UPS HOLDINGS, L.L.C. | MEMBER | 11/2017 | 25-50% |
| DUNNE, MICHAEL, FITZGERALD | Individual | – | CCO | 08/2023 | < 5% |