NORTH STAR INVESTMENT MANAGEMENT CORPORATION
Adviser information for NORTH STAR INVESTMENT MANAGEMENT CORPORATION last updated from Form ADV on March 19th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 29 |
|---|---|
| Investment Advisory/Research | 28 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 9 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 4 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,426 | $2.0B |
| Non-Discretionary | 8 | $97.9M |
| Total | 2,434 | $2.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,960 | $348.8M |
| HNW Individuals | 407 | $1.2B |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 5 | $404.8M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 54 | $72.2M |
| Charitable organizations | 22 | $19.1M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 3.1M |
| Both for Same | 3.1M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| MID-ATLANTIC PORTFOLIO SOLUTIONS | MID-ATLANTIC FINANCIAL MANAGEMENT, INC. |
| MID-ATLANTIC PORTFOLIO SOLUTIONS | NEWEDGE ADVISORS, LLC |
Identifiers
| SEC RIA File Number | 801-62013 |
|---|---|
| SEC ERA File Number | 801-62013 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 117681 |
| Legal Entity Identifier | None |
Principal Office
20 N. WACKER DRIVESUITE 1416
CHICAGO
IL
United States
Monday - Friday, 8 A.M - 4 P.M.
Tel: 312-580-0900, Fax: 312-580-0901
Chief Compliance Officer
ANDREW EISENBERG
CHIEF COMPLIANCE OFFICER
20 N. WACKER DRIVE
SUITE 1416
CHICAGO
IL
United States
Tel:
312-580-0900
Fax:
312-580-0901
A*********@***********M
(Full email address available in API data)
Regulatory Contact
PETER D. GOTTLIEB
DIRECTOR; PRESIDENT
20 N. WACKER DRIVE
SUITE 1416
CHICAGO
IL
United States
Tel:
312-580-0900
Fax:
312-580-0901
P********@***********M
(Full email address available in API data)
Industry Affiliates
| NORTH STAR BENEFITS, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GOTTLIEB, PETER, DAVID | Individual | – | DIRECTOR; PRESIDENT | 08/2001 | < 5% |
| KUBY, ERIC, CHARLES | Individual | – | DIRECTOR; CHIEF INVESTMENT OFFICER | 10/2004 | < 5% |
| NORTH STAR FINANCIAL SERVICES CORP. | Domestic Entity | – | SHAREHOLDER | 06/2006 | > 75% |
| GOTTLIEB, PETER, DAVID | Individual | PETER D. GOTTLIEB REVOCABLE TRUST U/A/D 1/21/03 | TRUSTEE | 01/2018 | |
| KUBY, ERIC, CHARLES | Individual | ERIC C KUBY LIVING TRUST U/A/D 3/13/03 | TRUSTEE | 01/2018 | |
| COHEN, BRADLEY, ERIC | Individual | – | PORTFOLIO MANAGER | 06/2008 | < 5% |
| EISENBERG, ANDREW | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2016 | < 5% |
| PETER D. GOTTLIEB REVOCABLE TRUST U/A/D 1/21/03 | Domestic Entity | NORTH STAR FINANCIAL SERVICES CORP. | SHAREHOLDER | 01/2018 | 25-50% |
| ERIC C KUBY LIVING TRUST U/A/D 3/13/03 | Domestic Entity | NORTH STAR FINANCIAL SERVICES CORP. | SHAREHOLDER | 01/2018 | 25-50% |