Firm profile

Chicago Oakbrook Financial Group

OAK BROOK, ILCRD 333344Registration Status: ApprovedEffective since November 6, 2024SEC # 801-131428Latest ADV February 18, 2026

Chicago Oakbrook Financial Group is an SEC registered investment adviser organized as a limited liability company with a primary office location in Oak Brook, IL. Its latest Form ADV filing, dated February 18, 2026, reports $1.2B in regulatory assets under management, 19 employees, 2 offices, and 4,345 accounts.

Assets Under Management
$1.2B
Employees
19
Offices
2 offices
Total Clients
1,380

Associated firm names

3 names listed
  • 401K TEAM
  • COFG ADVISORS, LLC
  • CHICAGO OAKBROOK FINANCIAL GROUP

Leadership

2 roles identified
CCOFrank E. Kautzky
COOFrank E. Kautzky

Advisory services offered

4 types reported
Financial Planning Services
Pension consulting services
Portfolio management for individuals and small businesses

Fee models offered

3 types reported
Asset based fees
Fixed fees
Hourly charges

Offices & Contact

Primary office

OAK BROOK, Illinois, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

Illinois

OAK BROOKPrimary office · PLAINFIELD

2 office records listed · 2 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$1.2Bas of February 18, 2026
Discretionary91.9%
$1.1B
92% of total RAUM91.9%
Non-discretionary8.1%
$98M
8% of total RAUM8.1%
Regulatory assets under management are split between discretionary and non-discretionary assets.

Client Coverage Demographics

Top client segmentIndividuals represent 83.1% of total clients.
Top client categories% of clientsClients
1
Individuals
83.1%
1,147
2
HNWI
13.7%
189
3
Corporations
1.7%
24
4
Pension Plans
1.4%
20
Categories with <5 clients
Charitable Organizations<5 clients

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$1.2B
Total Accounts4,345
10Y AUM Change+$1.2B

Private Funds

Private funds reported by Chicago Oakbrook Financial Group

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees19
Clients per Employee73:1
10Y Employee Change+1 (+5.6%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
COFG BROKERAGE, INC.Direct owner · Schedule AInterest in CHICAGO OAKBROOK FINANCIAL GROUP
50% to < 75%
DAVID NATHAN NAVARRODirect owner · Schedule AInterest in CHICAGO OAKBROOK FINANCIAL GROUP
50% to < 75%
JAE HA WEALTH MANAGEMENT, INC.Direct owner · Schedule AInterest in CHICAGO OAKBROOK FINANCIAL GROUP
10% to < 25%
JAF WEALTH MANAGEMENT, INC.Direct owner · Schedule AInterest in CHICAGO OAKBROOK FINANCIAL GROUP
10% to < 25%
BSWM, INC.Direct owner · Schedule AInterest in CHICAGO OAKBROOK FINANCIAL GROUP
5% to < 10%
KPW HOLDINGS, INC.Direct owner · Schedule AInterest in CHICAGO OAKBROOK FINANCIAL GROUP
5% to < 10%
FOX HILL VENTURES, LLCDirect owner · Schedule AInterest in CHICAGO OAKBROOK FINANCIAL GROUP
5% to < 10%
FRANK EDWARD KAUTZKYDirect owner · Schedule AInterest in CHICAGO OAKBROOK FINANCIAL GROUP
5% to < 10%
DAVID NATHAN NAVARROIndirect owner · Schedule BInterest in COFG BROKERAGE, INC.
75%+
FRANK EDWARD KAUTZKYIndirect owner · Schedule BInterest in KPW HOLDINGS, INC.
75%+
JAE WON HAIndirect owner · Schedule BInterest in JAE HA WEALTH MANAGEMENT, INC.
75%+
JOHN ANTHONY FERRANTEIndirect owner · Schedule BInterest in JAF WEALTH MANAGEMENT, INC.
75%+
BRETT ERROL SHERPANIndirect owner · Schedule BInterest in BSWM, INC.
75%+
BRENDON JON PIERCEIndirect owner · Schedule BInterest in FOX HILL VENTURES, LLC
75%+

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Chicago Oakbrook Financial Group.

Reported ownership and control details

Form ADV · Filing date 2026-02-18 · Schedules A and B

14 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1COFG BROKERAGE, INC.OWNERDomestic entityCHICAGO OAKBROOK FINANCIAL GROUP50% to less than 75%Code DYesOWNER08/2024Schedule APDF page 19
2JAE HA WEALTH MANAGEMENT, INC.OWNERDomestic entityCHICAGO OAKBROOK FINANCIAL GROUP10% to less than 25%Code BNoOWNER08/2024Schedule APDF page 19
3JAF WEALTH MANAGEMENT, INC.OWNERDomestic entityCHICAGO OAKBROOK FINANCIAL GROUP10% to less than 25%Code BNoOWNER08/2024Schedule APDF page 19
4BSWM, INC.OWNERDomestic entityCHICAGO OAKBROOK FINANCIAL GROUP5% to less than 10%Code ANoOWNER08/2024Schedule APDF page 19
5KPW HOLDINGS, INC.OWNERDomestic entityCHICAGO OAKBROOK FINANCIAL GROUP5% to less than 10%Code ANoOWNER08/2024Schedule APDF page 19
6FOX HILL VENTURES, LLCOWNERDomestic entityCHICAGO OAKBROOK FINANCIAL GROUP5% to less than 10%Code ANoOWNER08/2024Schedule APDF page 19
7FRANK EDWARD KAUTZKYCHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICERIndividualCHICAGO OAKBROOK FINANCIAL GROUP5% to less than 10%Code AYesCHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER08/2024Schedule APDF page 19
8DAVID NATHAN NAVARROPRESIDENTIndividualCHICAGO OAKBROOK FINANCIAL GROUP50% to less than 75%Code DYesPRESIDENT08/2024Schedule APDF page 19
9DAVID NATHAN NAVARROPRESIDENTIndividualCOFG BROKERAGE, INC.75% or moreCode EYesPRESIDENT08/2024Schedule BPDF page 20
10FRANK EDWARD KAUTZKYCHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICERIndividualKPW HOLDINGS, INC.75% or moreCode EYesCHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER08/2024Schedule BPDF page 20
11JAE WON HAFINANCIAL ADVISORIndividualJAE HA WEALTH MANAGEMENT, INC.75% or moreCode ENoFINANCIAL ADVISOR08/2024Schedule BPDF page 20
12JOHN ANTHONY FERRANTEFINANCIAL ADVISORIndividualJAF WEALTH MANAGEMENT, INC.75% or moreCode ENoFINANCIAL ADVISOR08/2024Schedule BPDF page 20
13BRETT ERROL SHERPANFINANCIAL ADVISORIndividualBSWM, INC.75% or moreCode ENoFINANCIAL ADVISOR08/2024Schedule BPDF page 20
14BRENDON JON PIERCEFINANCIAL ADVISORIndividualFOX HILL VENTURES, LLC75% or moreCode ENoFINANCIAL ADVISOR08/2024Schedule BPDF page 20

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 2/18/2026 5:25:07 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.