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North Star Investment Management Corporation: investment adviser

North Star Investment Management Corporation is an investment adviser registered with the SEC (file 801-62013, CRD 117681). What it reports on Form ADV: assets and clients, fees, owners, disciplinary history and its client brochure. From the SEC's Investment Adviser Public Disclosure site; read Oct 21, 2026.

Assets managed
$2.5B
Discretionary
97%
Accounts
2,643
Employees
26
In advisory roles
14
Disclosures
0

Company page · SEC adviser record · Full Form ADV (PDF)

The firm reports that it or a related person has custody of client cash and securities.

Form ADV Part 1A, Item 5, as filed on the SEC Investment Adviser Public Disclosure site; read Oct 21, 2026.

Clients and fees

Whom the firm advises and how it is paid, from Items 5.D, 5.E and 5.G.

Client typeClientsAssetsShare
Individuals2,023$365.8M14.6%
High net worth individuals513$1.6B63.5%
Registered funds5$397.8M15.9%
Pension and profit-sharing plans80$129.5M5.2%
Charities22$20.5M0.8%

How it is paid

  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)

Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies" that have made an election pursuant to section 54 of the Investment
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients (other than registered investment companies and other pooled investment vehicles)
  • Pension consulting services
  • Selection of other advisers (including private fund managers)

Who owns it

Schedule A lists direct owners of 5% or more (and officers who own a stake); Schedule B lists the owners of those owners.

Direct owners (Schedule A)

OwnerTypeRoleStakeSinceControlPublic company
North Star Financial Services Corp.Company (U.S.)ShareholderE 75% or moreJun 2006Yes

Indirect owners (Schedule B)

OwnerOwns a stake inTypeStakeControlPublic company
Eric Charles KubyEric C Kuby Living Trust U/A/D 3/13/03PersonF General partner, trustee or managing memberYes
Eric C Kuby Living Trust U/A/D 3/13/03North Star Financial Services Corp.Company (U.S.)C 25% to 50%Yes

Form ADV reports ownership in bands, not exact stakes: A means 5% to 10%, B 10% to 25%, C 25% to 50%, D 50% to 75%, E 75% or more. F marks a general partner, trustee or managing member, a role that controls the firm without a percentage. Owners of less than 5% are not listed.

Form ADV Schedules A and B, via the SEC Investment Adviser Public Disclosure site.

Disciplinary history

The firm answered No to every disciplinary question on Form ADV (Item 11).

The brochure

Form ADV Part 2A: the plain-language document an adviser must give its clients. Each item is shown as filed; open an item to read all of it.

Brochure Supplement - Egan (2026 March), filed Mar 18, 2026. Brochure PDF. Items: 4 · 5 · 6

Item 4. Advisory business

Ms. Egan devotes substantially all of her professional time to NSIMC. Ms. Egan is not registered, nor does she have an application for registration pending as a registered person of a securities broker/dealer. Ms. Egan

may teach courses at Northwestern University however this activity does not represent a substantial source of her income or involve a substantial amount of her time.

Item 5. Fees and compensation

Ms. Egan does not receive any compensation or additional economic benefits from any other third party for providing advisory services through NSIMC.

Item 6. Performance-based fees and side-by-side management

Ms. Egan is supervised by Andrew Eisenberg, Chief Compliance Officer. Mr. Eisenberg reviews Ms. Egan’s work through client account reviews, transactions reports and face to face interactions. Mr. Eisenberg’s telephone number is (312) 580-0900. Questions related to the operation of the Firm and the supervision of Ms. Egan should be directed to Mr. Eisenberg. Peter Gottlieb supervises Andrew Eisenberg and supervises and directs the responsibilities of all registered personnel. Mr. Gottlieb’s telephone number is (312) 580-0900.

Other brochures on file

Form ADV Part 2A, via the SEC Investment Adviser Public Disclosure site.