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They include 229 individual clients and 227 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Uhlmann Investment Management offer?","answer":"Uhlmann Investment Management provides portfolio management for individuals and small businesses and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Uhlmann Investment Management charge?","answer":"Uhlmann Investment Management charges 1.00%–1.75% a year for its UIM Advisor Managed Portfolios. The fee is billed in advance and is negotiable.","source":"UHLMANN INVESTMENT MANAGEMENT ADV II 11/05/2025, filed 3 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Uhlmann Investment Management have?","answer":"Uhlmann Investment Management has 9 investment adviser representatives registered with state securities authorities, out of 11 employees, and 9 perform investment advisory functions. 9 employees are registered representatives of a broker-dealer and 6 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Uhlmann Investment Management invest in?","answer":"At the end of its last fiscal year, Uhlmann Investment Management’s separately managed accounts held 75% exchange-traded equities, 19% registered funds (mutual funds, ETFs, BDCs), 5% cash and equivalents, 1% U.S. government and agency bonds and 1% derivatives.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Uhlmann Investment Management?","answer":"Uhlmann Investment Management is owned through a chain of holding companies by James Baer and Alan Konn. Its direct owner is Uhlmann Price Securities, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Uhlmann Investment Management get paid?","answer":"Uhlmann Investment Management is paid through a percentage of assets under management. 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Uhlmann Investment Management registered with the SEC?","answer":"Yes, Uhlmann Investment Management has been registered with the SEC as an investment adviser since 7 May 2018. Its CRD number is 118025 and its SEC file number is 801-113188.","source":"Form ADV Part 1A, Item 1, filed 24 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Uhlmann Investment Management?","answer":"Uhlmann Investment Management’s main office is at 5202 Old Orchard Road, Suite 250, Skokie, IL 60077. Its phone number is 312-264-4400.","source":"Form ADV Part 1A, Item 1.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}