James
Kozak

Uhlmann Investment Management, L.L.C

CRD#2237880
Investment Advisor
in Skokie, IL

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About this Advisor

James Kozak is a financial advisor based in Skokie, Illinois who has 6 years of industry experience. Kozak is an advisor for Uhlmann Investment Management, L.L.C. During their career, the advisor has held roles at Roth Capital Partners, LLC, Uhlmann Price Securities, LLC, Robertson Stephens Securities LLC and Robertson Stephens Advisors LLC. Kozak holds Series 63 and Series 65 licenses, designating them as both a securities agent and an investment advisor representative, and can serve investors in Illinois. Uhlmann Investment Management, L.L.C is a business operating out of Skokie, IL. It has a total of 11 people on staff. It has $164 million in assets under management across its 360 client accounts, placing it among the mid-sized investment advisory firms in the nation by assets under management. Of its 360 customer accounts, 53% are associated with high-net-worth individuals who have at least $1 million in investable assets. Uhlmann Investment Management, L.L.C has a few services, including portfolio management for individuals and small businesses and selection of other advisers. Financial advisory fees vary depending on the services. However, fees billed 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

5202 Old Orchard Road Suite 250
Skokie, IL 60077

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Uhlmann Investment Management, L.L.C Brokerage Details

Total Assets Under Management

$163,831,457

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

11

IL Average: 44
Total Number of Accounts

360

IL Average: 2,564
Average Account Size

$455,087

IL Average: $2,603,165

Investment Advisory Services

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

James Kozak Work History

James 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 LLC

2015 - 2017 (2 years)

Robertson Stephens Advisors LLC

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.

Disclosures

Please visit the SEC profile of James Kozak 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

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