Asset manager · Chicago, IL
Ativo Capital Management, LLC
SEC-registered investment adviser · CRD 125303 · SEC 801-65975
At a glance
Ativo Capital Management, LLC is an SEC-registered investment adviser based in Chicago, Illinois, with $863 million in regulatory assets under management as of its Form ADV filed March 18, 2026. Its largest client group by assets is state or municipal government entities, and it reports 6 individual clients. By Form ADV it is a asset manager, ranked 1,430th of 3,218 asset managers and 5,844th of 17,210 SEC-registered advisers by assets.
Main office 312-263-7600ativocapital.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $863M
- Rank among asset managers
- #1,430 of 3,218
- Rank among all SEC RIAs
- #5,844 of 17,210
- Rank in Illinois
- #278 of 684
- Individual clients
- 6
- High-net-worth clients
- 6
- Accounts
- 21
- Discretionary
- 100% of AUM
- Employees
- 8
- Advisory staff
- 4
- Offices
- 1
Owners and executives on its Form ADV
- Ricardo BekinChief Executive Officer/chief Investment Officer
- Michael S. BrooksMember/director of Marketing & Investor Relations
- Adan GalvanMember/chief Operating Officer
- Huan Kiat TangMember/director of IT
- Ram Gopal GandikotaMember/deputy Chief Investment Officer/director of Research
- Shiqing HuangMember/director of Finance/chief Compliance Officer
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| State or municipal government entities | 9 | $688M | 80% |
| Pension and profit sharing plans | – | $112M | 13% |
| Pooled investment vehicles | 2 | $61M | 7% |
| High-net-worth individuals | 6 | $1M | <1% |
| Other | – | $0M | <1% |
Private funds
Ativo Capital Management, LLC reports 1 private funds with $61M in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
Ativo Capital Management, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Other services
How it’s paid
- A percentage of assets under management
- Performance-based fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗ativocapital.com ↗
AtlasMembers
The full record on Ativo Capital Management, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
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- Rank against 1,015 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Ativo Capital Management, LLC manage?
Ativo Capital Management, LLC reports $863 million in regulatory assets under management across 21 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 18, 2026.
What kind of firm is Ativo Capital Management, LLC?
Ativo Capital Management, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Ativo Capital Management, LLC’s clients?
By assets, its largest client types are state or municipal government entities ($688 million, 9 clients); pension and profit sharing plans ($112 million); pooled investment vehicles ($61 million, 2 clients).
Does Ativo Capital Management, LLC manage private funds?
Yes. It reports 1 private funds with $61 million in gross assets, including hedge funds.
Does Ativo Capital Management, LLC have any disciplinary history?
Ativo Capital Management, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Ativo Capital Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-18), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →