David K Mabie
Professional Summary
David K Mabie is a registered financial advisor currently at CHICAGO CAPITAL, LLC located in Chicago, Illinois. David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. David has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Investment Management
- Estate & Legacy Planning
- Financial Planning
- Retirement Planning
Biography
Chicago Capital was founded on one simple principal: Putting clients first. We provide personalized service to help our clients define their goals that span multiple generations. We have a clear process to understand these goals, develop appropriate recommendations, and help balance the risks and rewards of long-term investments. Our advisers understand that our client’s goals are unique, and therefore the process by which we help them achieve these goals revolves around the client. Dave Mabie...
Other Aliases
There are no additional aliases reported.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Contact Information
Direct
(xxx) xxx-xxxx
linkedin.com/in/xxxxxx
facebook.com/xxxxxx
xxxxx@xxxx.xxx
X (Twitter)
x.com/xxxxxx
Website
xxxxxxxxxx.xxx
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Years of Experience
32 years in the financial services industry
Current & Past Employments
Education
Northwestern University - Kellogg School of Management
Accounting, Finance, International Business
Accounting, Finance, International Business
1991
Lewis and Clark College
Economics and Psychology
Economics and Psychology
1985
New Trier Township High School Northfield
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Current Firm
CHICAGO CAPITAL, LLC
Contact Information
Main Address
550 W. Washington Blvd. Ste. 1650, Chicago, IL 60661Phone Number
(312) 429-2333# of Employees
18SEC notice filing (33 States and Territories)
Registered to provide investment advisory services in 33 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,319AUM (Assets Under Management)
$4,823,333,873Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/08/2026 | Cover Page | Report |
| 08/08/2025 | Cover Page | Report |
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Primary Firm SEC Registration
CHICAGO CAPITAL, LLC
State Registrations and Notice Filings
(2/19/2018)
(2/20/2018)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
CRS (Client Relationship Summary) - RIA
Click below to view David K Mabie's CRS (Customer Relationship Summary).
Services Offered by David
- Investment Management
- Estate & Legacy Planning
- Financial Planning
- Retirement Planning
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
