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UHLMANN INVESTMENT MANAGEMENT, L.L.C.

SKOKIE, IL · CRD 118025 · IAPD ↗ · upsecurities.com · 312-264-4400

$273.2MRegulatory AUM
9Advisory reps
11Employees
0Clients
11-25Planning clients
0Private funds
30States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
February 2026 — UHLMANN INVESTMENT MANAGEMENT, L.L.C. notice-filed in AK, DC, KS, NE, NJ, VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
61
February 2026 — UHLMANN INVESTMENT MANAGEMENT, L.L.C. reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
63
April 2024 — UHLMANN INVESTMENT MANAGEMENT, L.L.C. reported RAUM up 45% ($163.8M -> $237.1M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.