North Star Investment Management Corporation
- Regulatory AUM
- $2.5B
- Discretionary
- $2.4B
- Clients
- 2,643
- Avg AUM / client
- $947K
- Accounts
- 2,643
- Employees
- 26
AUM over time
Annual snapshots from Form ADV filings · as of Apr 14, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 2,023 | $366M | 14.6% |
| High net worth individuals | 513 | $1.6B | 63.5% |
| Banking or thrift institutions | Fewer than 5 clients | — | — |
| Investment companies | 5 | $398M | 15.9% |
| Pension and profit sharing plans | 80 | $130M | 5.18% |
| Charitable organizations | 22 | $20.5M | 0.82% |
| State or municipal government entities | 0 | — | — |
| Other investment advisers | 0 | — | — |
| Insurance companies | 0 | — | — |
| Sovereign wealth funds and foreign official institutions | 0 | — | — |
| Corporations and other businesses | 0 | — | — |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Flanagan State Bank Profit Sharing Plan & Trust Flanagan State Bank | 2024 |
People (12)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Peter David Gottlieb | Director; President | Aug 2001 (25y) | Less than 5% | |
| Eric Charles Kuby | Director; Chief Investment Officer | Sep 2004 (22y) | Less than 5% | |
| Bradley Eric Cohen | Portfolio Manager | Apr 2006 (20y) | Less than 5% | |
| Eisenberg, Andrew | Chief Compliance Officer | Mar 2016 (10y) | Less than 5% | |
| Melissa F Diamond | Registered representative | Jul 2004 (22y) | ||
| Matthew Henry Schwerin | Registered representative | CFA | Sep 2005 (21y) | |
| Michael Neil Mazursky | Registered representative | Chartered Financial Consultant | Jan 2009 (18y) | |
| Sharon Lee Egan | Registered representative | CFP | May 2012 (14y) | |
| Aristotle Peter Petruleas | Registered representative | Feb 2022 (4y) | ||
| Colin Matthew Schwerin | Registered representative | Feb 2024 (2y) | ||
| Dana Cahan | Registered representative | Mar 2025 (1y) | ||
| Eric Jay Papenhagen | Registered representative | CFP | Oct 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| North Star Financial Services Corp. | Shareholder | Jun 2006 | A | 75% or more |
| Peter D. Gottlieb Revocable Trust U/A/D 1/21/03 | Shareholder | Jan 2018 | B | ≈ 18.75% – 50% via North Star Financial Services Corp. |
| Eric C Kuby Living Trust U/A/D 3/13/03 | Shareholder | Jan 2018 | B | ≈ 18.75% – 50% via North Star Financial Services Corp. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Peter D. Gottlieb Revocable Trust U/A/D 1/21/03: 25% – 50% of North Star Financial Services Corp. × 75% – 100% direct ≈ 18.75% – 50% of the firm
- Eric C Kuby Living Trust U/A/D 3/13/03: 25% – 50% of North Star Financial Services Corp. × 75% – 100% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Flanagan State Bank Profit Sharing Plan & Trust | Flanagan State Bank | 118 | $14.7M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/14/2026 | 1.1 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- National Financial Services (Fidelity) $1.2B (47% of AUM) Apr 2026
- Charles Schwab & Co. $667M (27% of AUM) Apr 2026
- Fidelity Distributors Company Llc $324M (13% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 14, 2026.
View current Form ADV (SEC/IAPD) ↗