Peter L. Goldman

CHICAGO CAPITAL

Chicago, IL 60603

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CRD#: 2665279

Professional summary

Peter Loring Goldman, who also goes by Peter Goldman, is a registered financial advisor currently at CHICAGO CAPITAL, LLC located in Chicago, Illinois.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Peter has worked at 8 firms and has passed the Series 63, Series 65, Series 7 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Peter Goldman

Other business activities

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Loring Goldman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 9, 2024 - Present

CHICAGO CAPITAL, LLC

Office #1: 135 S. Lasalle Ste. 4200, Chicago, IL 60603

RIA

CRD#: 291624

Chicago, IL

Past

May 20, 2014 - January 2, 2024

WESTWOOD MANAGEMENT CORPORATION

RIA

CRD#: 110354

CHICAGO, IL

Past

February 1, 2010 - May 20, 2014

FRONT BARNETT ASSOCIATES LLC

RIA

CRD#: 106193

CHICAGO, IL

Past

July 11, 2007 - August 14, 2008

CHICAGO ASSET MANAGEMENT COMPANY LLC

RIA

CRD#: 144400

CHICAGO, IL

Past

June 24, 2004 - November 30, 2005

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

July 29, 2003 - July 27, 2007

CHICAGO ASSET MANAGEMENT COMPANY

RIA

CRD#: 110033

CHICAGO, IL

Past

June 5, 2003 - June 24, 2004

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

PORTLAND, ME

Past

December 27, 2002 - August 27, 2003

VINCENT CAPITAL, LLC

RIA

CRD#: 123190

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CHICAGO CAPITAL, LLC

CRD#: 291624 / SEC#: 801-112280

RIA

Registered Investment Advisory firm - (1/11/2018 Approved)

Illinois

Registered Investment Advisory firm - (8/9/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(1/9/2024)

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

State Security Law Exam

Series 63

Date: 7/16/2003

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/18/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 6/4/2003

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 10/2/1995

Non-Member General Securities Examination

Current Firm

CHICAGO CAPITAL, LLC

CRD#: 291624 / SEC#: 801-112280

RIA

Registered Investment Advisory firm - (1/11/2018 Approved)

Illinois

Registered Investment Advisory firm - (8/9/2018 Terminated)

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Contact information

Main Address

135 S. Lasalle Ste. 4200, Chicago, IL 60603

Mailing Address

Phone number

(312) 429-2333

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CHICAGO CAPITAL LLC FORM ADV PART 2A (3/2/2025)

Regulatory assets under management

Total Number of Accounts	2,058
AUM (Assets Under Management)	$ 4,477,490,797

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/08/2025	Cover Page	Report

Red Flags

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.

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Advisor Monitoring

Firm Stability Insights

Peter L. Goldman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Loring Goldman's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTWOOD MANAGEMENT CORPORATION

FRONT BARNETT ASSOCIATES LLC

CHICAGO ASSET MANAGEMENT COMPANY LLC

FORESIDE FUND SERVICES, LLC

CHICAGO ASSET MANAGEMENT COMPANY

FUNDS DISTRIBUTOR, LLC

VINCENT CAPITAL, LLC

Primary Firm SEC Registration

CHICAGO CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/16/2003

Series 65

Date: 9/18/1995

Series 7

Date: 6/4/2003

Series 2

Date: 10/2/1995

Current Firm

CHICAGO CAPITAL, LLC

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CHICAGO CAPITAL, LLC

TRUST BUT VERIFY

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