Joseph Locke is a ChFC-designated registered investment advisor at Cibc Private Wealth Advisors, INC., based in Chicago, IL, with 27 years of industry experience. Joseph operates on a fee-only basis, meaning they do not earn commissions from product sales. 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $5.0M | 1.00% |
| $5.0M - $10.0M | 0.80% |
| $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
Location
181 W. Madison St, 35th Floor, Chicago, IL, 60602-4690
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Joseph serves as the Successor Trustee for the Mary Alice Dixon Trust and the Russell A Dixon Trust, both established in 1996. He is responsible for disbursing the assets of the trusts to the beneficiaries according to the trust instructions.
Employment History
Current Registrations
Cibc Private Wealth Advisors, INC.
Previous Registrations
Geneva Advisors, LLC
Joseph J. Locke & Company, LTD.
State Registrations3 states
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
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