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UHLMANN INVESTMENT MANAGEMENT, L.L.C.
CRD 118025File 801-113188
APPROVED
Retail clients
Filing as of Mar 24, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$273.2M
Below cohort median (national)
Discretionary AUM
$232.9M
Non-discretionary $40.3M
Clients
456
460 accounts
Employees
11
Below cohort median in IL
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- May 7, 2018
- Principal office
- 5202 OLD ORCHARD ROAD, SUITE 250, SKOKIE, IL, 60077
- Phone
- 312-264-4400
- Website
- HTTPS://WWW.UPSECURITIES.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $273.2M
- Discretionary AUM
- $232.9M
- Non-discretionary AUM
- $40.3M
- Discretionary accounts
- 397
- Non-discretionary accounts
- 63
- Total accounts
- 460
- AUM per client
- $599K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $1.2M |
| Charitable organizations | Fewer than 5 | $10.7M |
| High net worth individuals | 227 | $238.3M |
| Individuals (other than high net worth individuals) | 229 | $23.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Mar 1, 2026 | Clients | 457 | 456 | decreased by1 |
| Mar 1, 2026 | AUM | $273,184,000 | $273,182,000 | decreased by$2,000 |
| Feb 1, 2026 | Clients | 318 | 457 | increased by139 |
| Feb 1, 2026 | AUM | $241,656,376 | $273,184,000 | increased by$31,527,624 |
| Feb 1, 2026 | Accounts | 321 | 460 | increased by139 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 12 | 11 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 290 | 318 | increased by28 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $158,885,346 | $241,656,376 | increased by$82,771,030 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 294 | 321 | increased by27 |
| Apr 1, 2022 | Employees | 13 | 12 | decreased by1 |
| Apr 1, 2022 | Clients | 292 | 290 | decreased by2 |
| Apr 1, 2022 | AUM | $157,869,909 | $158,885,346 | increased by$1,015,437 |
| Apr 1, 2022 | Accounts | 292 | 294 | increased by2 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “UHLMANN INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“UHLMANN INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.