JK
JK

James Patrick Kozak

33 Years of Experience
1 DisclosureBroker
Areas of Practice
Investment Management
Compensation
Fee-Only (AUM)
Firm Size
11 advisors
Number of Clients
318 clients
Average Client Portfolio
$760K average
Assets Under Management
$241.7M

Fee Structure

Minimum Investment:$100K
Financial Planning:Investment management only
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $2.0M1.75%
$2.0M - $3.0M1.50%
$3.0M - $4.0M1.25%
$4M+1.00%

UIM may negotiate its fee at its sole discretion and under special circumstances. UIM may exclude certain investments from the calculation of assets under management.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location

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

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History

Regulatory History (1)
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Regulatory
April 2005
Final
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 3 mos
Uhlmann Price Securities, LLCBroker
November 2017 - Present · 8 yrs 3 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
Exams
No exam information available for this advisor.