TrueAdvisor
TrueAdvisor
JK
JK

James Kozak

Uhlmann Investment Management, L.L.C.
33 Years of Experience
Skokie, IL
1 DisclosureBroker
View SEC Summary
View SEC Summary

James Kozak is a registered investment advisor at Uhlmann Investment Management, L.L.C., based in Skokie, IL, with 33 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Real Estate Investing, and 1 more. Their firm serves 456 clients with $270M in assets under management.

Uhlmann Investment Management, L.L.C.
Compensation
Fee-Only (% of Portfolio)
Firm Size
14 advisors
Number of Clients
456 clients
Average Client Portfolio
$599K average
Assets Under Management
$273.2M

Fee Structure

Minimum Investment:$100K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $2.0M1.75%
$2.0M - $3.0M1.50%
$3.0M - $4.0M1.25%
$4M+1.00%

Fees may be negotiated at the firm's sole discretion under special circumstances.

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

Location

5202 Old Orchard Road, Suite 250, Skokie, IL, 60077

Get directions

History

Regulatory History (1)
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.
Regulatory
April 2005
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James works as an investment advisor at Uhlmann Investment Management LLC since 2017 and is a co-founder and managing partner at OnPoint Analytics Capital Partners, dedicating all of his time to this role. He also has a consulting agreement with Empire Group LLC and is a referral source for Kovitz Investment Group.

Employment History
Current Registrations
Uhlmann Investment Management, L.L.C.
November 2017 - Present · 8 yrs 11 mos
Uhlmann Price Securities, LLCBroker
November 2017 - Present · 8 yrs 11 mos
Previous Registrations
Robertson Stephens SecuritiesBroker
October 2015 - October 2017 · 2 yrs
Robertson Stephens Advisors
October 2015 - October 2017 · 2 yrs
Roth Capital Partners, LLC
January 2013 - September 2015 · 2 yrs 8 mos
Roth Capital Partners, LLCBroker
January 2013 - September 2015 · 2 yrs 8 mos
Advanced Equities, INC.
June 2005 - November 2012 · 7 yrs 5 mos
Advanced Equities, INC.Broker
June 2005 - November 2012 · 7 yrs 5 mos
Certes Capital Securities, LLCBroker
April 2003 - June 2005 · 2 yrs 2 mos
Certes Capital Wealth Management, LLC
December 2002 - April 2006 · 3 yrs 4 mos
Advanced Equities, INC.
September 2002 - February 2003 · 5 mos
Advanced Equities, INC.Broker
November 1999 - February 2003 · 3 yrs 3 mos
Madison Securities, INC.Broker
July 1995 - December 1999 · 4 yrs 5 mos
Lexington Securities, INC.Broker
May 1994 - June 1995 · 1 yr 1 mo
Chatfield Dean & CO., INC.Broker
June 1992 - May 1994 · 1 yr 11 mos
State Registrations22 states
AZCACOCTDCFLILLAMAMDMEMIMNNJNVNYOHPATXVAWAWI
AdvisorBrokerBoth

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.
More Advisors
More financial advisors in Skokie, IL →All financial advisors in Illinois →