Firm Information

Compensation
Fee-Only (AUM)
Number of Advisors
10 advisors
Number of Clients
52 clients
Average Client Portfolio
$235.2M average
Assets Under Management
$12.2B

Fee Structure

Minimum Investment:$5M

Investment advisory fees are based on a percentage of the market value of assets under management and are individually negotiated. Specialized investment management fees could be higher depending on the securities. Fees are billed in arrears on a quarterly basis. Minimum account sizes are subject to negotiation. Fees exclude brokerage commissions, transaction fees, and other related costs.

Areas of Practice
Investment Management
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Advisor Information

Office location

10 S. Wacker Drive, 19th Floor, Chicago, IL, 60606

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Regulatory History
Clean regulatory record

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.

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Employment History
Current Registrations
Duff & Phelps Investment Management CO.
June 2024 - Present · 1 yr 7 mos
Vp Distributors LLCBroker
June 2024 - Present · 1 yr 7 mos
Vp Distributors LLC
June 2024 - Present · 1 yr 7 mos
Previous Registrations
Dimensional Fund Advisors LP
September 2021 - April 2024 · 2 yrs 7 mos
Dfa Securities LLCBroker
September 2021 - April 2024 · 2 yrs 7 mos
Foreside Fund Services, LLCBroker
May 2020 - February 2021 · 9 mos
BMO Investment Distributors, LLCBroker
August 2013 - April 2019 · 5 yrs 8 mos
BMO Harris Financial Advisors, INC.Broker
August 2012 - February 2015 · 2 yrs 6 mos
M&i Financial Advisors, INCBroker
May 2012 - August 2012 · 3 mos
Russell Financial Services, Inc., Part of Russell InvestmentsBroker
January 2008 - February 2010 · 2 yrs 1 mo
Russell Institutional Services Inc., Part of Russell Investments Broker
July 2004 - January 2008 · 3 yrs 6 mos
Russell Fund Distributors, INC.Broker
August 2001 - August 2004 · 3 yrs
Hewitt Financial Services LLCBroker
August 1997 - April 2001 · 3 yrs 8 mos
State Registrations1 state
IL
AdvisorBrokerBoth
Exams
No exam information available for this advisor.