VU Financial Services, Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm is a single-advisor registered investment adviser that manages customized portfolios for a small number of clients, serving individuals as well as an unusually broad set of institutional and corporate clients, including banks, insurance companies, pension plans, municipal entities, charitable organizations, other investment advisers, and sovereign wealth funds. It provides discretionary portfolio management and individualized investment strategies rather than pooled mutual-fund products.
The firm constructs each client’s portfolio to fit that client’s profile and needs, typically adding an overlay of stock options intended to hedge risk and potentially enhance returns. The adviser has managed client portfolios for over 18 years and emphasizes academically informed, quantitative methods—drawing on formal training in option pricing—in portfolio design.
Noteworthy features include the principal’s advanced academic credentials (a Ph.D. in finance and the CFA designation), an extensive record of teaching and published research, and experience serving as an industry arbitrator and mediator, all of which inform the firm’s analytical approach. Combined with its very small, concentrated client base, routine use of options strategies, and the presence of several uncommon institutional client types for a firm of this size, the firm’s client mix and methodology differ from most independent peers.
Client services
Expertise
Main office
Glenview 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 not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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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.
Forms ADV
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