Chicago Capital provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions. Financial planning was provided to 11–25 clients last fiscal year.
Chicago Capital reports 838 clients. They include 445 high-net-worth individuals, 373 individual clients and 14 charitable organizations. Of its assets, 99.8% ($4.81B across 2,295 accounts) are managed with discretion; $8.46M across 24 accounts are not. Of its clients, 1% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 45% | 2% |
| High-net-worth individuals | 53% | 94% |
| Charitable organizations | 2% | <1% |
| Corporations and other businesses | <1% | 3% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 373 | $116M | 2.4% | $311K |
| High-net-worth individuals | 445 | $4.54B | 94.1% | $10.2M |
| Charitable organizations | 14 | $25.1M | 0.5% | $1.79M |
| Corporations and other businesses | 6 | $142M | 2.9% | $23.7M |
| Total | 838 | $4.82B | 100% | $5.76M |
- Clients
- 373
- Regulatory AUM
- $116M
- AUM share
- 2.4%
- Avg. per client
- $311K
- Clients
- 445
- Regulatory AUM
- $4.54B
- AUM share
- 94.1%
- Avg. per client
- $10.2M
- Clients
- 14
- Regulatory AUM
- $25.1M
- AUM share
- 0.5%
- Avg. per client
- $1.79M
- Clients
- 6
- Regulatory AUM
- $142M
- AUM share
- 2.9%
- Avg. per client
- $23.7M
Total
- Clients
- 838
- Regulatory AUM
- $4.82B
- AUM share
- 100%
- Avg. per client
- $5.76M
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 11–25
Chicago Capital charges 1.00% a year for its Investment Management. The fee is billed in advance, is negotiable and has a $20,000 annual minimum. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Consulting Fees
- Consulting for clients who are not investment management clients is charged hourly, with a minimum consulting fee starting at $1,000 per hour.
- Financial Planning and Advisory Services
- Financial planning and advisory services may be charged a fee separate from investment advisory fees; the brochure states no amount.
Chi-Cap, LLC owns 75% or more of Chicago Capital and is in turn owned by Mabie 2014 Gift Trust U/A/D 7/31/2014 (75% or more). The leadership team of Chicago Capital includes Chief Compliance Officer Stacey Sargent. It has 18 employees, 12 of them in advisory roles.
Leadership
- Stacey SargentManaging Partner/Chief Compliance Officer
- David MabieManaging Partner
- Eric MaddixManaging Partner
Investment adviser representatives
11 representatives listed in the SEC register as of 9 October 2026.
- Malinda Helen Distefano
- Richard Mark Fradin
- Scott Jarrett Frazin
- Peter Loring Goldman
- Mikhail Kimbarovsky
- David K Mabie
- Eric Scott Maddix
- Edward Joseph Malysiak Jr.
- Luis Pereda
- Stacey Lynn Sargent
- Joann McClure Seagren
Staff
- 18 employees
- 12 in advisory functions
- 11 state-registered reps
- Owns 75% or more of Chicago Capital, LLC
Chi-Cap, LLC
since June 2018
- Owns 75% or more of Chi-Cap, LLC
Mabie 2014 Gift Trust U/A/D 7/31/2014
since June 2018
David Mabie
Manager · Control person · since December 2018
Chicago Capital’s regulatory assets grew 1.8× from $2.68B (May 2021) to $4.82B (September 2026); clients rose from 516 to 838 and employees from 9 to 18.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| September 2026 | $4.82B | 838 | 18 | 1 |
| April 2025 | $4.48B | 756 | 18 | 1 |
| April 2024 | $3.53B | 682 | 14 | 1 |
| April 2023 | $2.26B | 590 | 11 | 1 |
| May 2022 | $3.15B | 573 | 10 | 1 |
| May 2021 | $2.68B | 516 | 9 | 1 |
Besides its headquarters, Chicago Capital has 0 offices, with 1 listed address in Illinois.
Illinois · 1 listed address
- 550 W. Washington BLVD., Ste. 1650, ChicagoHQ
Contact and registration details
- Legal name
- Chicago Capital, LLC
- Headquarters
- 550 W. Washington BLVD., Ste. 1650, Chicago, IL 60661
- Website
- chicagocapital.com
- Phone
- 312-429-2333
- @chicago-capital
- SEC file
- 801-112280
- Structure
- Illinois LLC
- Fiscal year end
- December
Chicago Capital uses Fidelity ($4.06B, 86%) and Charles Schwab ($635M, 14%) as custodians for its separately managed accounts. Chicago Capital has custody of $2.63B in client assets for 346 clients.
- FidelityNational Financial Services LLC · Boston, MA · $4.06B86%
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $635M14%
At year end, Chicago Capital’s separately managed accounts were mostly in stocks (84%). Its reported 13F holdings for the quarter ended 30 June 2026 total $4.15B across 361 positions; the largest are Alphabet Inc. (5.4%), Taiwan Semiconductor Manufac (4.4%) and Ligand Pharmaceuticals Inc. (4.2%).
What the accounts hold
- Stocks84%
- Funds5%
- Bonds6%
- Cash5%
Reported 13F holdings
- $4.15B
- Reported 13F value
- 361
- Positions
- 37.7%
- In the 10 largest
- +12.0%
- Value vs. prior quarter
- Alphabet Inc. · Cap Stk CL A5.4%
- Taiwan Semiconductor Manufac · Sponsored ADS4.4%
- Ligand Pharmaceuticals Inc.4.2%
- Amazon Com Inc.4.2%
- Nvidia Corporation3.8%
- Meta Platforms Inc. · CL A3.7%
- Visa Inc. · Com CL A3.3%
- ASML Hldg NV · N Y Registry Shs3.1%
- Apple Inc.3.1%
- Eli Lilly & CO2.5%
Together, the ten largest are 37.7% of reported value.
How many clients does Chicago Capital have?
Chicago Capital has 838 clients and manages $4.82 billion for them, as of September 2026. They include 445 high-net-worth individuals, 373 individual clients and 14 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 21 September 2026
What services does Chicago Capital offer?
Chicago Capital provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Chicago Capital charge?
Chicago Capital charges 1.00% a year for its Investment Management. The fee is billed in advance, is negotiable and has a $20,000 annual minimum.
Source: CHICAGO CAPITAL LLC FORM ADV PART 2A, filed 7 August 2026
Which custodians does Chicago Capital use?
Chicago Capital’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $4.06B and Charles Schwab & Co., Inc. (Westlake, TX), with $635M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 21 September 2026
How many financial advisors does Chicago Capital have?
Chicago Capital has 11 investment adviser representatives registered with state securities authorities, out of 18 employees, and 12 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Chicago Capital invest in?
At the end of its last fiscal year, Chicago Capital’s separately managed accounts held 84% exchange-traded equities, 6% U.S. government and agency bonds, 5% registered funds (mutual funds, ETFs, BDCs) and 5% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Chicago Capital?
Chicago Capital is owned through a holding company by Mabie 2014 Gift Trust U/A/D 7/31/2014. Its direct owner is Chi-Cap, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 21 September 2026
How does Chicago Capital get paid?
Chicago Capital is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Chicago Capital registered with the SEC?
Yes, Chicago Capital has been registered with the SEC as an investment adviser since 11 January 2018. Its CRD number is 291624 and its SEC file number is 801-112280.
Source: Form ADV Part 1A, Item 1, filed 21 September 2026; IAPD firm record
How do I contact Chicago Capital?
Chicago Capital’s main office is at 550 W. Washington BLVD., Ste. 1650, Chicago, IL 60661. Its phone number is 312-429-2333. Its website is chicagocapital.com.