Kabarec Financial Advisors Ltd (Palatine)


Kabarec Financial Advisors Ltd is a large advisory firm based in Palatine. It manages $194.47 million of regulatory assets for 668 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Florida, Georgia, Illinois, and Wisconsin.

Kabarec Financial Advisors provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Kabarec Financial Advisors: assets under management

The assets under management (AUM) of Kabarec Financial Advisors Ltd is $194.47 million. The firm's AUM has grown by 38% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $185.91 million in discretionary accounts and $8.56 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $284.7 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $570.67 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 68% of the total AUM. The second-largest asset type is non-investment grade corporate bonds, which make up 10% of the firm’s portfolio. Investments in investment grade corporate bonds form 10% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Kabarec Financial Advisors Ltd for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Andrew Jackson Goodwin serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Andrew Jackson Goodwin is high net worth individuals with 54 clients and $143.42 million of assets under management. Among the 5 most similar advisory firms, Kabarec Financial Advisors has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $194.47 million for 201 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Kabarec Financial Advisors doesn't advise any private funds.

Careers at Kabarec Financial Advisors Ltd

The company employs 5 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Andrew Jackson Goodwin has been acting as President since 1 Jan 1999. Michelle Lynn Smalenberger joined the executive team most recently as the Vice President.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Michael Peter Kabarec President and chief compliance officer 1 Feb 1986 75% - 100% 4336249
Karen Ann Kabarec Vice president 1 Feb 1986 25% - 50% 4336252
H Bokhof Part owner 1 Jan 1999 Other 2694154
Andrew Jackson Goodwin Director 1 Jan 1999 Other 4336268
Optimum Investment Advisors Lp Part owner 1 Jan 1999 25% - 50% 105182
Kirk Robert Hackbarth Chief compliance officer 1 Feb 2007 Other 1315116
Inc. Mesa Financial Advisors Majority shareholder 1 Oct 2008 75% - 100% 20-2614986
Michelle Lynn Smalenberger Vice president 1 Mar 2016 Other 6058074

Indirect Owners

The SEC currently registers 3 indirect owners.

Name Entity Date acquired Ownership Employer ID
L. Edward Baker Shareholder 1 Feb 1999 75% - 100% 1943143
Baker Capital Llc Shareholder 1 Nov 2007 25% - 50% 41-1955119
Inc. Mesa Holdings Shareholder 1 Oct 2008 75% - 100% 20-2173722

Based in Palatine

The principal office where Kabarec Financial Advisors Ltd performs its advisory services is located at 220 N. Smith St., Palatine, IL 60067 2488, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 847-934-7777 or by fax 847-934-0276. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at kabarec.com.