C
Cardinal Mark LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$12,076,239
Total clients
19
42% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
19
Average account size
$635,592
About
Cardinal Mark provides discretionary investment management and financial planning services to individual clients, including high-net-worth individuals, and also offers hourly investment consulting and goal-based planning on a project basis. Services include portfolio construction, ongoing account management, and written financial planning deliverables.
The firm’s investment process blends quantitative optimization and computer-based risk/return analysis with technical analysis and third‑party research, and it invests across individual equities, exchange-traded funds, mutual funds, and fixed income (including municipal securities). Accounts are managed with discretionary authority, subject to written client-imposed restrictions, and clients are contacted at least annually to reassess objectives and risk tolerance.
Distinctive aspects in the brochure include a relatively compact client roster supported by approximately $12.1 million in discretionary assets, the use of an institutional custody and trading platform that provides practice‑management and research benefits to the adviser, and a stated policy of not participating in wrap programs or soft‑dollar arrangements. The firm also forwards proxy materials to clients for their voting rather than voting proxies on clients’ behalf.
Client services
Portfolio management
Expertise
Concentrated stock management
Fee options
$0 - $1,000,000: 1.00% annually Over $1,000,000+: 0.50% annually
Fee-only: Investment advisory fees based on assets under management; no commissions or sales charges received by the firm.
Main office location
Cardinal Mark LLC
Glencoe IL, United States
Number of offices
1
Most active in
Cardinal Mark LLC has reported serving >5 clients in these states in the last 12 months.
Illinois
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
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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