Gordon
Fallone

Uhlmann Investment Management, L.L.C

CRD#1767760
Investment Advisor
in Mill Valley, CA

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About this Advisor

Gordon Fallone is a financial advisor operating in Mill Valley, California, who has been in the financial industry for 15 years. Fallone is an employee of Uhlmann Investment Management, L.L.C. Their career trajectory has included roles at Advanced Equities, Roth Capital Partners, LLC, Robertson Stephens Securities and Robertson Stephens Advisors. Fallone maintains Series 63 and Series 65 licenses, designating them as both a securities agent and an investment advisor representative, and is able to serve investors in Arizona and Illinois. Uhlmann Investment Management, L.L.C is a registered investment business headquartered in Mill Valley, California. The firm has a total of 12 financial advisors. It handles $159 million in total assets between its 294 accounts, placing it among the mid-sized firms in the United States by assets under management. Of its 294 customer accounts, 37% belong to high-net-worth individuals who have more than $1 million in investable assets. Uhlmann Investment Management, L.L.C performs a few services, such as portfolio management for individuals and small businesses and selection of other advisers. Fees for financial advisory services usually vary depending on the type of services provided. However, fee types billed by Uhlmann Investment Management, L.L.C typically consist of asset-based fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

15 years

Services Offered

Portfolio management for individuals and/or small businesses, Selection of other advisers

Fee Structure

Percentage of Assets

Disclosures

Yes

Office Location

Mill Valley, CA

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Uhlmann Investment Management, L.L.C Brokerage Details

Total Assets Under Management

$158,885,346

CA Average: $6,674,516,078
Total Number of Employees

12

CA Average: 44
Total Number of Accounts

294

CA Average: 2,564
Average Account Size

$540,426

CA Average: $2,603,165

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Investment Advisory Services

  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers

Gordon Fallone Work History

Gordon has 15 years of experience.

2015 - 2017 (2 years)

Robertson Stephens Securities

2015 - 2017 (2 years)

Robertson Stephens Advisors

2013 - 2015 (2 years)

Roth Capital Partners, LLC

2007 - 2012 (5 years)

Advanced Equities

Disclosures

Gordon Fallone has disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Uhlmann Investment Management, L.L.C

Michael Dunne
Chicago, IL
Patrick Lauderdale
Chicago, IL
Lawrence Doody
Chicago, IL
William Lillwitz
Chicago, IL
Terry Finkel
Chicago, IL
Michael Herrmann
Chicago, IL
Gordon Fallone
Mill Valley, CA
Vernon Armour
Chicago, IL

The content in this profile was updated by SmartAsset on 04/01/2022 using publicly available data compiled from the SEC and FINRA. To report any data inconsistencies or errors, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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