Advising for Covered Persons

Corporate executives designated as Covered Persons are often faced with policies prohibiting certain securities transactions. Few wealth advisors have the knowledge, background, and experience required to work with these professionals in creating optimized long-term investment plans.

Our founders, the former in-house wealth advisors for PricewaterhouseCoopers, worked specifically with covered/restricted persons to help manage their personal investments. Following a spin-off from PwC in 2007, Chicago Partners was formed with a focus on meeting the compliance restrictions for:

  • Big 4 Executives & Accounting Professionals
  • C-Suite Executives
  • Lawyers
  • Other Designated Covered/Restriction Persons

Specifically, the compliance-friendly strategies we design are built to create solutions for:

  • Your corporate compliance department & any investment restrictions you face
  • Investment strategies that meet the requirements of trading limitations
  • Any outside business activities (OBA's) or possible conflicts of interest
  • Employer reviews for compliance with rules & restrictions
  • Custom portfolios to meet your compliance needs is part of our focus on optimizing your wealth.

Compliance-Friendly Solutions

Our team has a core competency building portfolios and financial plans that meet compliance regulations.

Covered Persons Portfolios

Your portfolio shouldn't have to suffer because of your restrictions as a covered individual.

Our solutions revolve around creating well-diversified and positioned portfolios that match your investment goals and objectives while protecting your covered person status.