UNIPLAN INSTITUTIONAL ADVISORS LLC
Adviser information for UNIPLAN INSTITUTIONAL ADVISORS LLC last updated from Form ADV on February 15th, 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 | Wisconsin, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 0 | $0 |
| Total | 0 | $0 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-121382 |
|---|---|
| SEC ERA File Number | 801-121382 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 314367 |
| Legal Entity Identifier | None |
Principal Office
839 N JEFFERSON ST.SUITE 502
MILWAUKEE
WI
United States
Monday - Friday, 8:00 A.M. TO 5:00 P.M.
Tel: 262-534-3000, Fax: None
Chief Compliance Officer
MARY BETH JACOBSON
VICE PRESIDENT, DIRECTOR OF REPORTING AND COMPLIANCE/CHIEF COMPLIANCE OFFICER
839 N JEFFERSON ST.
SUITE 502
MILWAUKEE
WI
United States
Tel:
262-534-3000
M********@************M
(Full email address available in API data)
Regulatory Contact
RICHARD P. IMPERIALE
CHAIRMAN
839 N JEFFERSON ST.
SUITE 502
MILWAUKEE
WI
United States
Tel:
262-534-3000
R*********@************M
(Full email address available in API data)
Industry Affiliates
| UNIPLAN INVESTMENT COUNSEL, INC. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| IMPERIALE, RICHARD, PAUL | Individual | – | CHAIRMAN, TREASURER, CHIEF INVESTMENT OFFICER, DIRECTOR | 03/2021 | < 5% |
| JACOBSON, MARY, BETH | Individual | – | VICE PRESIDENT, SECRETARY, DIRECTOR OF COMPLIANCE AND REPORTING, CHIEF COMPLIANCE OFFICER | 03/2021 | < 5% |
| JAMISON, KRIS, HUNTER | Individual | – | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 03/2021 | < 5% |
| UNIPLAN INVESTMENT COUNSEL, INC. | Domestic Entity | – | OWNER OF 100% OF MEMBER INTERESTS | 07/2019 | > 75% |
| Werner, James, Thomas | Individual | – | CHIEF OPERATING OFFICER AND VICE PRESIDENT | 06/2021 | < 5% |