James Patrick Kozak

Current Employers

Employment History

• 09/2015 → 10/2017
  Robertson Stephens Securities Llc
  San Francisco, CA
• 09/2015 → 10/2017
  Robertson Stephens Advisors Llc
  San Francisco, CA
• 10/2017 → Present
  Uhlmann Price Securities, Llc
  Chicago, IL

Previous Registrations

• 2015-10-12 → 2017-10-04
  Robertson Stephens Advisors
  San Francisco, CA
• 2013-01-17 → 2015-09-30
  Roth Capital Partners, Llc
  Newport Beach, CA
  Wilmette, IL
• 2005-06-23 → 2012-11-20
  Advanced Equities, Inc.
  Chicago, IL
  Chicago, IL
  Chicago, IL
  Chicago, IL
• 2002-12-20 → 2006-04-27
  Hedeker Wealth Llc
  Deerfield, IL
• 2002-09-24 → 2003-02-18
  Advanced Equities, Inc.
  Chicago, IL

Other Businesses

(1) Uhlmann Investment Management LLC,303 W State St, Suite 1700Chicago, IL 60606 INVESTMENT ADVISOR - START DATE 11/2017. 95/5 PERCENT SPLIT BETWEEN BROKERAGE DEALER AND RIA SIDE OF BUSINESS, advisory fees based on AUM (2) Empire Group LLC, 6617 N Scottsdale Rd Ste 101, Scottsdale AZ, real estate , started 2009. Entered into consulting agreement July 2024- Institutional fund raising strategies. (3) OnPoint Analytics Capital Partners, 661 San Luis Rd, Berkeley CA, advisory firm, Co Founder & managing partner, sourcing & introducing alternative investments, 100% of the time, all compensation paid through BD Uhlmann Price (4) Kovitz Investment Group, 115 S LaSalle, 27th Fl, Chicago, IL. Investment Advisory Firm, referral source only, do not hold a title, starting 6/30/2019. 0 hours. Duties, introduce/refer potential investors to their RIA. (5) Waverly AV LLC/Waverly AV Management, LLC: 1200 Brickell Av. Suite 800, Miami FL 33131. Waverly AV LLC is a travel nursing staffing business, owned/managed by Waverly AV Management, LLC. Board Member 7/2025. Non-investment related. Dedicating around 4 hours a month. (6) Kozak Capital Group, 526 Woodland Drive, Glenview, IL. Owner/Operator. Real-Estate focused investments. Start 11/1/2025. Dedicating 20 hours per week.

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-08-30
• S63 Uniform Securities Agent State Law Examination
  1992-06-17