Uhlmann Investment Management, L.L.C

Investment Advisor
in Mill Valley, CA

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About this Advisor

Gordon Fallone is a financial advisor who works out of Mill Valley, California with 6 years of industry experience. Fallone is currently employed by Uhlmann Investment Management, L.L.C. Over the course of their career, they have held roles at Roth Capital Partners, LLC, Robertson Stephens Securities, Robertson Stephens Advisors and Uhlmann Price Securities, LLC. Fallone maintains Series 63 and Series 65 licenses, which qualify 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 company operating out of Skokie, IL. The investment advisory business has a total of 11 advisors. It controls $164 million in assets across its 360 customer accounts, placing it among the mid-sized firms in the country by assets under management. Of its 360 client accounts, 53% are associated with high-net-worth investors who have at least $1 million in assets available to invest. Uhlmann Investment Management, L.L.C has a few services, including portfolio management for individuals and small businesses and selection of other advisers. Financial management fee schedules usually are based on the services provided. Fees charged by Uhlmann Investment Management, L.L.C typically consist of asset-based fees.

Certifications and Registrations

Series 63, Series 65

Years Registered*

6 years

Services Offered

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

Fee Structure

Percentage of Assets

Office Location

Mill Valley, CA

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Uhlmann Investment Management, L.L.C Brokerage Details

Total Assets Under Management


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


CA Average: 44
Total Number of Accounts


CA Average: 2,564
Average Account Size


CA Average: $2,603,165

Investment Advisory Services

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

Gordon Fallone Work History

Gordon has been registered as a financial advisor for 6 years.*

2017 - Present (7 years)

Uhlmann Price Securities, LLC

2015 - 2017 (2 years)

Robertson Stephens Securities

2015 - 2017 (2 years)

Robertson Stephens Advisors

2013 - 2015 (2 years)

Roth Capital Partners, LLC

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.


Please visit the SEC profile of Gordon Fallone to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

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

Glenn Schwalje
Skokie, IL
Gordon Fallone
Mill Valley, CA
William Lillwitz
Skokie, IL
James Kozak
Skokie, IL
Michael Dunne
Skokie, IL
Terry Finkel
Skokie, IL
Patrick Lauderdale
Skokie, IL
Lawrence Doody
Skokie, IL

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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