Investors With Compliance Restrictions
For nearly two decades, we've helped corporate executives, auditors, attorneys, and other covered persons build well-positioned portfolios that keep pace with evolving compliance requirements without compromising long-term performance.
Constraint-Aware Investment Management
Wealth Management Built For the Restricted Investor
When your investments are subject to oversight, restrictions, or limited flexibility, traditional advice falls short. Our advisors are trained to design and manage portfolios for investors operating within complex compliance environments.
Our work spans:
- Investment strategies built around real-world constraints
- Coordination across restricted, retirement, and taxable accounts
- Tax-efficient implementation under limited flexibility
- Ongoing adaptation as requirements and opportunities change
The result is a portfolio designed not just to function but to perform.
20+
Years Advising Covered Persons
600+
Restricted Investors Served
$1B+
Compliance-Managed AUM
Custom-Built Portfolios
Matching Your Long-Term Goals With Your Restrictions
Compliance restrictions shouldn't stand in the way of a portfolio that performs. Our advisors take the time to understand both sides of the equation — the long-term objectives that matter to you and your family, and the specific trading, independence, and reporting rules your employer imposes — then design a strategy that honors both.
The result is a well-diversified, low-cost portfolio built around your goals, whether that's capital appreciation, income generation, tax-efficient wealth transfer, or a combination of all three. Every position is selected with your compliance framework in mind, pre-cleared through your firm's reporting system, and continuously monitored as restrictions evolve over the course of your career. You get a portfolio positioned to compound over decades, not one hollowed out by the constraints you work under.
Comprehensive Financial Planning & Tax Optimization Services
Deferred Comp & Partnership Planning
We review partnership distributions, deferred compensation, and equity awards to ensure they work in concert with your outside accounts.
Cash Flow Planning
Gain clarity on income and expenses. We help optimize spending, saving, and investing to create a solid foundation for your future.
Mega-Backdoor Roth Conversion Management
Building and implementing a strategy to move more of your capital into tax-advantaged accounts, reducing future tax liability.
Estate Plan Review & Refinement
From wills to trusts, our team builds an estate strategy designed to protect your legacy through compliance transitions and beyond.
Education Planning & Funding Strategies
Fund future learning opportunities through 529s, trusts, and gifting strategies without compromising your other financial goals.
Charitable Giving Strategies
Structure giving to maximize tax benefits while aligning with your philanthropic vision — DAFs, CRTs, and direct gifts.
Tax Strategy Optimizaiton
We identify opportunities to reduce your state's tax and federal tax burden through strategic income timing, deductions, and credits.
Tax Loss Harvesting
Our approach leverages market volatility to offset gains and reduce taxable income — without disrupting your compliant allocation.
A Team of Advisors with Over 20 Years of Experience working with PwC
Our team of PwC-focused advisors has helped hundreds of PwC professionals optimize their wealth management strategy. Clients working with Chicago Partners receive access to a team of advisors, including a Partner, Senior Wealth Advisor, Senior Associate, and Associate.
Each of the members of this team is available to help with any questions, financial situations, or desk reviews that may come up during your employment with PwC.
When You're Ready to Put Your Money to Work
Compliance restrictions shouldn't be the reason your wealth sits idle or underperforms. When you're ready to put your capital to work in a way that respects your firm's rules and pursues your long-term goals, our team is ready to help.
Reach out to schedule a complimentary introductory conversation — in person at our Chicago office or virtually, whichever you prefer. An advisor will be in touch within 24 hours.
Frequently Asked Questions (FAQ)
Our FAQ section is designed to provide clear, concise answers to the most common questions we receive from our PwC clients.
If you don’t see your question answered here, our team is always ready to help. Simply reach out to us directly, and we’ll be happy to assist.