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Richard Judd

Cibc Private Wealth Advisors, INC.
36 Years of Experience
Chicago, IL
7 DisclosuresBroker
View SEC Summary
View SEC Summary

Richard Judd is a registered investment advisor at Cibc Private Wealth Advisors, INC., based in Chicago, IL, with 36 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Estate Planning, High Net Worth, Investment Management, and 1 more. Their firm serves 9,236 clients with $68B in assets under management.

Cibc Private Wealth Advisors, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
173 advisors
Number of Clients
9,236 clients
Average Client Portfolio
$7.3M average
Assets Under Management
$67.8B

Fee Structure

Minimum Investment:$1M
Investment management only (planning not offered)
Minimum Annual Fee:$10,000
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $5.0M1.00%
$5.0M - $10.0M0.80%
$10M+0.60%

Standard fee schedule for Equity and Balanced Portfolios. Other portfolio types (Fixed Income, Cash, Wealth Management) have separate schedules. Minimum annual fee is $10,000. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

181 West Madison Street, 36th Floor, Chicago, IL, 60602

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History

Regulatory History (7)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2018
Award / Judgment
Customer Dispute
August 2009
Settled
Customer Dispute
June 2009
Settled
Employment Separation After Allegations
January 2009
Customer Dispute
September 2007
Settled
Customer Dispute
December 1997
Denied
Customer Dispute
July 1994
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Cibc Private Wealth Advisors, INC.
July 2022 - Present · 4 yrs 3 mos
Cibc World Markets CORP.
October 2017 - Present · 9 yrs
Cibc World Markets CORP.Broker
October 2017 - Present · 9 yrs
Previous Registrations
Gnv Advisors, LLCBroker
April 2011 - October 2017 · 6 yrs 6 mos
Geneva Advisors, LLC
October 2010 - September 2017 · 6 yrs 11 mos
UBS Financial Services INC.Broker
August 2006 - February 2009 · 2 yrs 6 mos
UBS Financial Services INC.
August 2006 - February 2009 · 2 yrs 6 mos
Piper Jaffray & CO.Broker
May 2004 - August 2006 · 2 yrs 3 mos
Piper Jaffray & CO.
May 2004 - August 2006 · 2 yrs 3 mos
Deutsche Bank Securities INC.
January 2001 - May 2004 · 3 yrs 4 mos
Deutsche Bank Securities INC.Broker
January 2001 - May 2004 · 3 yrs 4 mos
Db Alex. Brown LLCBroker
September 1997 - January 2001 · 3 yrs 4 mos
Alex. Brown & Sons IncorporatedBroker
May 1996 - September 1997 · 1 yr 4 mos
William Blair & Company L.L.C.Broker
October 1988 - June 1996 · 7 yrs 8 mos
State Registrations5 states
AZCAFLILWI
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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