About the Firm

The professionals of The Advisors Group of Chicago, LLC provide comprehensive financial solutions. We view wealth planning and wealth management on a continuum, not as one-time events. Goals change, needs change, markets change but through it all…our clients needs come first.

Wealth planning is a process that begins with us listening to hear what our clients need. Next, we help them dream…to sense being in the place they want to get to. And then, together with our clients, we weave the plan that will help them reach their needs and their goals. By working together, our clients truly understand their plan so that collectively, we are well equipped to implement it.  

Wealth management is where the rubber meets the road – it puts the wealth plan into action. Wealth management has many facets – investment advisory, risk management, estate planning and many other customized services. We provide comprehensive investment advisory services – investment strategies, investment recommendations and performance reporting. We work with our clients and their legal and tax advisors to execute estate planning and risk management strategies when appropriate.

Our independence enables us to provide advice based upon your unique financial situation and future goals. We recommend financial products that are appropriate to you. We have access to a wide variety of non-proprietary products.

In the end, we believe that our clients choose to work with us and stay with us because of our personalized service and our attention to their unique circumstances. The fact that no two of our clients are alike is one of the great pleasures of our business.

A Family Office for the Rest of Us

Very wealthy families, those with a net worth in the $100 million range, often have a “family office”. The family office usually consists of a few financial professionals working full time for the family. These professionals manage many of the family’s affairs directly and coordinate the activities of all of the family’s outside advisors. At The Advisors Group of Chicago, our goal is to make this concept work for the rest of us. We will handle your comprehensive planning and the management of your investments and will also coordinate with your other advisors like your CPA or estate planning attorney.

The Members of the Firm

There are five members of The Advisors Group of Chicago. Each of us maintains relationships with our own group of clients, and because we each have diverse technical experience, we frequently collaborate when clients have needs in special areas.

Doug Brown has been with the firm since 1997. Doug, a CFPâ professional with an M.B.A. in Finance from the University of Chicago, is especially strong in the area of investment management. He is a Registered Representative and Investment Advisor with NFP Securities, Inc. See more about Doug and his practice under “About Doug Brown.”

Dan Swanson joined the firm in 2003. Dan is a CPA* and has a Master of Taxation from Georgetown University. Dan’s tax and corporate finance experience has been a welcome addition to the firm. He is a Registered Representative and Investment Advisor with NFP Securities, Inc. See more about Dan and his practice under “About Dan Swanson.”

A.J. LaVallie has been with the firm since 1986. A.J. is a CFPâ professional and is one of the original members of the firm. A.J. helped to pioneer financial planning at the Advisors Group. A.J. is a Registered Representative, an Investment Adivsor Representative and a General Securities Principal through NFP Securities, Inc.  See more about A.J. under "About A.J. LaVallie."

Charlie Cooper has been with the firm since 1994. Charlie’s twenty years experience as a producer and manager at one of the major insurance companies, and his C.L.U. and Ch.F.C. designations make him the firm’s leading professional in the advanced uses of life insurance for business and estate planning. Charlie is a Registered Representative and Investment Advisor with NFP Securities, Inc.

Mark Peter joined the firm in 1992 after several years with a national financial services company. Mark is a CFPâ professional and provides comprehensive planning and investment advice to a broad range of clients including a large number of self-employed professionals. He is a Registered Representative and Investment Advisor with NFP Securities, Inc.

Our Strategic Partnerships

The Advisors Group of Chicago is strengthened by its strategic relationships with other firms. We are, by choice, a small firm so that we can provide dedicated personalized service. Our strategic relationships give our clients access to myriad resources.

We have chosen NFP Securities, Inc. ("NFPSI") of Austin, Texas, to be our Broker/Dealer and Registered Investment Advisor. All of our securities business and advisory services are conducted through NFPSI. NFPSI is a boutique broker-dealer that caters to independent financial advisors to provide sophisticated financial solutions, back office support and regulatory oversight. Accounts are cleared through National Financial Services, LLC ("NFS)" which acts as custodian and clearing agent for our client's investment accounts. NFS is a subsidiary of Fidelity Investments. The Advisors Group of Chicago is not an affiliate of NFP Securities, Inc. or National Financial Services LLC.  NFP Securities, Inc. and National Financial Services LLC. are not affiliated.

*NFP Securities, Inc. does not provide legal or tax advice and is not a Certified Public Accounting firm.