# Daly Investment Management, LLC

> Daly Investment Management, LLC is an SEC-registered investment advisory firm in Mount Prospect, IL, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated June 10, 2026.

- CRD: 149980
- Filed as: DALY INVESTMENT MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Mount Prospect, IL
- Filing period: October 2026
- Form ADV filing dated: June 10, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/149980
- AdvisorCensus page: https://advisorcensus.com/firm/daly-investment-management-llc-mount-prospect-il-149980

## Quick answers

**How is Daly Investment Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Daly Investment Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Daly Investment Management, LLC located?**
Daly Investment Management, LLC's principal office is in Mount Prospect, IL, according to its Form ADV.

**Is Daly Investment Management, LLC registered with the SEC or a state?**
Daly Investment Management, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 149980.

**How much does Daly Investment Management, LLC manage?**
Daly Investment Management, LLC reports $123,548,761 in regulatory assets under management in its Form ADV filing dated June 10, 2026 (100% discretionary).

**What types of clients does Daly Investment Management, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (89); individuals (other than high net worth individuals) (36).

**Which custodians does Daly Investment Management, LLC use?**
Daly Investment Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab as a custodian holding 10% or more of its separately managed account assets.

**Does Daly Investment Management, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/149980

**Does Daly Investment Management, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated May 5, 2026 says: "DIM does not require a minimum to open or maintain an account."

**What changed in Daly Investment Management, LLC's recent Form ADV filings?**
In the July 2026 filing data: Newly registered with the SEC.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated May 5, 2026)

- Account minimum: None

> DIM does not require a minimum to open or maintain an account.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $123,548,761
- Discretionary: $123,548,761
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 36 | $85,825,452 |
| High net worth individuals | 89 | $37,723,309 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services

### Firm details
- Registered since: 2026 (0 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: IL
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- dalyinvestment.com

## Changes in the filing (last 12 months)

### July 2026
- Newly registered with the SEC.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Daly Investment Management, LLC (CRD 149980): Form ADV filing data as of October 2026.