RJ
RJ
Richard Judd
35 Years of Experience
Chicago, IL
7 DisclosuresBroker
Richard Judd is a registered investment advisor at Cibc Private Wealth Advisors, INC., based in Chicago, IL, with 35 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth. Their firm serves 10,045 clients with $61B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
169 advisors
Number of Clients
10,045 clients
Average Client Portfolio
$6.1M average
Assets Under Management
$61.1B
Fee Structure
Minimum Investment:$1M
Investment management only (planning not offered)
Minimum Annual Fee:$10,000
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $5.0M | 1.00% |
| $5.0M - $10.0M | 0.80% |
| $10M+ | 0.60% |
Schedule is for new accounts with equity and balanced portfolios. Minimum annual fee of $10,000. Fees may be negotiable. Other schedules exist for fixed income and cash portfolios.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
181 West Madison Street, 36th Floor, Chicago, IL, 60602
Get directionsHistory
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 2018Award / Judgment
Customer Dispute
August 2009Settled
Customer Dispute
June 2009Settled
Employment Separation After Allegations
January 2009Customer Dispute
September 2007Settled
Customer Dispute
December 1997Denied
Customer Dispute
July 1994Settled
Employment History
Current Registrations
Cibc Private Wealth Advisors, INC.
July 2022 - Present · 4 yrs
Cibc World Markets CORP.
October 2017 - Present · 8 yrs 9 mos
Cibc World Markets CORP.Broker
October 2017 - Present · 8 yrs 9 mos
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 Registrations4 states
AZCAFLIL
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.