Daly Investment Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$114,103,996
Clients
127
28% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
127
Very HighAverage account size
$898,457
About
The firm provides discretionary investment management and financial planning to individuals, families, related entities, trusts, estates, family businesses, charitable organizations, corporations, and sponsors of pension, profit-sharing and 401(k) plans. Services include development of Investment Policy Statements, ongoing portfolio monitoring and periodic rebalancing, as well as periodic newsletters and website commentary.
Investment implementation emphasizes strategic asset allocation with primary use of mutual funds and exchange-traded funds, while individual stocks, bonds and options may be used when appropriate; security analysis may include fundamental, technical, charting and cyclical methods and draws on third‑party research. Accounts are managed in line with each client’s stated objectives, risk tolerance, tax considerations and liquidity needs, and client assets are held at independent custodians such as Charles Schwab.
Noteworthy for an independent RIA, the firm offers retirement plan consulting services that cover plan design assistance, preparation of written IPS documents for plans, selection of investment vehicles, performance monitoring, and employee education or tailored participant advice under ERISA Section 404(c). The firm’s principal holds the CFP® designation and is also licensed to sell fixed life, health and disability insurance, receiving commissions on those insurance sales as disclosed in the brochure.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Active portfolio management
Options & derivatives strategies
Retirement plans for business owners (SEP, solo 401k)
General estate planning guidance
Life insurance needs analysis
Fee options
Fixed fee financial planning services from $500 to $2,000, negotiated per client
Below $500,000 - $500,000: 1.00% $500,001 - $1,000,000: 0.85% $1,000,001 - $3,000,000: 0.75% $3,000,001 - $5,000,000: 0.65% $5,000,001 - $10,000,000: 0.50% Above $10,000,000+: 0.35%
Commissions received from sale of insurance products (fixed life, health, disability insurance) by John P. Daly, licensed insurance agent
$200 per hour for one-time advice and consultations, negotiable
Fee-only: Fixed fee financial planning ranging from $500 to $2,000, negotiated per client
Main office location
Daly Investment Management, LLC
930 E Northwest Highway
Mount Prospect IL 60056, United States
Number of offices
1
Most active in
Daly Investment Management, 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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