James Kozak
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 operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management. Their firm serves 456 clients with $270M 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 $2.0M | 1.75% |
| $2.0M - $3.0M | 1.50% |
| $3.0M - $4.0M | 1.25% |
| $4M+ | 1.00% |
UIM may negotiate its fee or exclude certain investments from the fee calculation at its discretion.
Fee Estimator
Location
5202 Old Orchard Road, Suite 250, Skokie, IL, 60077
Get directionsHistory
Regulatory History (1)
Regulatory
April 2005Other 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.
Uhlmann Price Securities, LLCBroker
Previous Registrations
Robertson Stephens Advisors
Robertson Stephens SecuritiesBroker
Roth Capital Partners, LLC
Roth Capital Partners, LLCBroker
Advanced Equities, INC.Broker
Advanced Equities, INC.
Certes Capital Securities, LLCBroker
Certes Capital Wealth Management, LLC
Advanced Equities, INC.
Advanced Equities, INC.Broker
Madison Securities, INC.Broker
Lexington Securities, INC.Broker
Chatfield Dean & CO., INC.Broker
State Registrations22 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.