SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Ativo Capital Management, LLC
Chicago, IL
CRD 125303
Firm filing updated March 18, 2026 ·
- $862.7MAssets
- 4Advisory staff
- 21Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Performance-based feesYes
- OtherYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
Who the firm serves
- State or municipal government entities (including government pension plans)9
- High net worth individuals6
- Pooled vehicles2
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | 6 | $1.4 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 2 | $60.7 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 clients | $112.1 million |
| State or municipal government entities (including government pension plans) | 9 | $688.3 million |
| Other: "ATIVO'S OWN ACCOUNTS" | Fewer than 5 clients | $265,298 |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 4 services
- Other: "MODEL PORTFOLIO DELIVERY"
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other: "MODEL PORTFOLIO DELIVERY"
Assets and accounts
- Regulatory assets$862.7 million
- Accounts21
- DiscretionaryAll accounts
People
- Employees8
- Advisory staff4
- Broker-dealer reps0
- Licensed insurance agents0
Advisors
5 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 125303, SEC file 801-65975.
- Registered with the SEC as an investment advisor (status date on record: January 31, 2006).
Is Ativo Capital Management, LLC a fiduciary?
Short answer: Ativo Capital Management, LLC is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.