About Chicago Partners

Optimize Your Most Important Business: the Management of Your Wealth. Chicago Partners is an SEC-registered, fee-only independent registered investment advisor (RIA) that specializes in creating a one-stop wealth management experience. With 23 investment professionals managing over $1.9 billion for 650+ clients, our team specializes in optimizing each dimension of our distinguished clients' wealth. Our clients include high & ultra-high-net-worth individuals, foundations, institutions, and corporations. Our clients optimize each dimension of their wealth by using our 5-Step Wealth Optimization Process, which includes: - Investment Consulting - Custom Investment Portfolios - Tax Planning & Tax Preparation - Personalized Financial Plans - The Fiduciary Relationship Our clients work with their dedicated teams consisting of CPA, CFP, J.D., and CFA-certified individuals, each focused on optimizing a specific dimension of the client's wealth. Each client's plan is customized to meet their unique goals & objectives, and their team of fiduciaries is always working to reach their goals and objectives.

General Information Years of Experience in Financial Services:    29 Gender:    Male CRD#:    4583528 Work Experience:    Practice Leader at PwC. Senior Portfolio Manager at Northern Trust and B of A. Firm CRD#:    147662 States Licensed in:    Registered with the SEC Name of Custodial Firm:    Charles Schwab and Co./TD Ameritrade/Fidelity Number of Years with Current Firm:    11 Insurance License#:    n/a Work with the following types of clients:    Businesses, Individual Investors, Non-Profit Organizations Name of Broker/Dealer:    n/a States Willing to do Business in:    All

Education Academic Background   BS Business from Marguette University MBA in Finance from DePaul University CFA

Services Investment Types:    Mutual Funds, Bonds, Stocks, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI), MLP - Pipelines Can meet clients in the following ways:    Your Office, Email, Phone, Our Office, Your Home

Qualifications & Memberships Certifications, Accreditations & Designations:    CFA® Financial Organization Memberships:    CFA Institute and Chicago Analyst Society

Firm Information Assets Managed by Firm:    $1,900,000,000+ Advisor's Number of Clients:    333 Firm's Number of Clients:    681 Advisor's Number of Planning Clients:    333 Advisor's Number of Managed Clients:    333 Firm's Number of Planning Clients:    681 Firm's Number of Managed Clients:    681

Compliance Criminal Disclosures in Last 5 years:    Have a clean record Compliance Disclosures in Last 5 years:    Have a clean record Registered Investment Advisor:    Yes Registered Representative:    Yes Investment Advisor Representative:    Yes Acknowledged fiduciary:    Yes

Compensation and Fees Hourly Rate:    n/a Fee % Based on Assets:    90 BPS Additional Details on Charges:    n/a Minimum Portfolio Size for New Managed Accounts:    $500K Minimum Fee Charged for Managed Accounts:    n/a Fee Structure:    Fee-Only Minimum Fee Charged for Hourly Planning Accounts:    n.a Minimum Fee Charged for Flat Fee Accounts:    n/a Flat Fee Rate:    n/a

Frequently Asked Questions

Q.	Do you have a customer satisfaction or refund policy?

Q.	What are your qualifications? What is your education background?

Q.	How are you compensated? How will I pay for your services?

Q.	If you are going to manage my account, will you obtain my permission every time you buy or sell something?

Q.	How many clients do you currently manage?

Q.	Will you be the only person working with me?

Q.	Do you offer any guaranteed results?

Q.	How much risk should I be willing to take?

Q.	Have you ever been charged with any breaches?

Q.	What is your approach to financial planning?

Q.	What services do you offer?

Q.	Why should I choose you as my financial advisor?

Q.	How do you charge for your services?

Q.	What services do you provide? What are your specialties?

Q.	What is your experience? How many clients do you currently manage?

Q.	What financial institution(s) do you represent?

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Q.	Do you have a customer satisfaction or refund policy?
We charge our clients a percentage of assets under management fee (0.9% or less annually). We charge quarterly and will provide any of our clients with a prorated fee schedule upon request.

Q.

What are your qualifications? What is your education background?

We serve as a guide to our clients' total wealth optimization. The financial industry can feel dense and frustrating to navigate alone, and we work with our clients to optimize each dimension of their wealth (portfolio, tax, estate, retirement, & relationships) by walking with them through our 5-Step Wealth Optimization Process. We create customzied low-cost and tax efficient solutions that move our clients toward meeting their financial goals.

Q.	How are you compensated? How will I pay for your services?
Percentage of assets under management, generally 90bps (0.9%) for the first $1MM. Our fee schedule decreases as you add more assets ($1-2MM @ 60bps, $2-3MM @ 50bps, etc.).

Q.	If you are going to manage my account, will you obtain my permission every time you buy or sell something?
You can set up an account under a discretionary (we have trading permissions) or non-discretionary (we do not have trading permissions) basis.

Q.	How many clients do you currently manage?
681

Q.	Will you be the only person working with me?
No - you will have an entire team of financial professionals at your side. Our primary client facing team is made up of 8 individuals, including CFPs, CFAs, CPAs, CAIAs, and a JD.

Q.	Do you offer any guaranteed results?
No, but we strive to serve our valued clients with distinction.

Q.	How much risk should I be willing to take?
There are many different types of risks that we can discuss with you.

Q.	Have you ever been charged with any breaches?
No.

Q.	What is your approach to financial planning?
We help drive down investment costs so you have more of your money compounding. Our experience and dedication to creating excellent personalized and comprehensive financial plans for over 550 distinguished clients has landed us on the Financial Times Top 300 RIAs list in 2014, 2015, 2016, and 2017.

Q.	What services do you offer?
Portfolio Analysis and Creation, Custom Investment Management, Tax Planning & Preparation, Advanced Financial Planning, and our Fiduciary Relationship (a fiduciary is an advisor who always puts your best interests first. Not all financial advisors are fiduciaries).

Q.

Why should I choose you as my financial advisor?

I have been managing investment portfolios for high net worth clients since 1990 and have served as a senior portfolio manager at Bank of America, Northern Trust, and PricewaterhouseCoopers (PwC). I started Chicago Partners in 2007 after spinning off from inside PwC. I have a BS in Business from Marquette University and a MBA in Finance from DePaul University. I am also a Chartered Financial Analyst (CFA).

Q.	How do you charge for your services?
Percentage of assets under advisement - please see above.

Q.	What services do you provide? What are your specialties?
See above for our services. We have a core competency in creating compliance-friendly portfolios for restricted/covered persons. We also serve as family office advisors, and advisors for foundations, corporations, and institutions.

Q.	What is your experience? How many clients do you currently manage?
We have decades of experience and we currently serve 681 clients with over $1.9 Billion in assets under management.

Q.	What financial institution(s) do you represent?
None. We serve our clients. We do have access to the DFA funds which may be a key part of your portfolio. These funds are unavailable to retail investors. Please visit DFA at www.dfaus.com.