Elswick Investments LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Elswick Investments LLC offers discretionary and non-discretionary asset management, financial planning, and ERISA retirement-plan services, including acting as a 3(38) investment manager and providing participant education. The firm’s brochure lists a broad client base—individuals, high net worth clients, trusts, estates, corporations, nonprofits, and retirement plans—but it reported no assets under management and one advisor at the time of filing.
The firm documents client goals, time horizons, and risk tolerance to build customized portfolios and employs a mix of fundamental, technical, charting and cyclical analysis, with quarterly reviews, rebalancing and tax‑loss harvesting considered as part of ongoing monitoring. It relies on a percentage‑of‑AUM advisory model and offers both discretionary trading authority and non‑discretionary arrangements requiring client approval for each trade.
Compared with many managers that primarily run pooled or institutional assets, the firm is notable for combining ERISA 3(38) fiduciary plan management with retail planning services and for the principal’s active outside business activities; the brochure discloses that the principal spends roughly 20% of her time as a registered broker‑dealer representative and as an insurance agent and may receive commission compensation. Those outside activities and the potential for commission‑based conflicts are disclosed in the brochure and described as mitigated by firm policies and fiduciary obligations.
Client services
Expertise
Occupation focus
Fee options
Financial planning fees range from $100 to $2,000, billed 50% in advance and balance upon delivery.
$0 - $500,000: 1.25% annually $500,000.01 - $1,000,000: 1.15% annually $1,000,000.01 - $2,500,000: 1.05% annually $2,500,000.01 - $5,000,000: 0.95% annually $5,000,000.01 - $10,000,000: 0.85% annually $10,000,000.01+: 0.75% annually
Account minimum: $250,000
Main office
Chicago IL
Advisors at this office
1
Most active in
Illinois
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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