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RIA / WealthAdvisorCertified Financial Planner26 years in industry

JOHN PATRICK DALY

Advisor at DALY INVESTMENT MANAGEMENT, LLC

MOUNT PROSPECT, IL

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Search this name across graphsid dfx:ria:5aa3c99e-ce03-d76d-a5fe-665b18b75661

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 9, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: DALY INVESTMENT MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 1, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Mar 29, 2000
First registration: Jun 9, 2003
Dual registered: no
IAPD individual key: 4133168

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
DALY INVESTMENT MANAGEMENT, LLC	Independent wealth	Apr 28, 2009	n/a	yes	MOUNT PROSPECT, IL	Current employment
STEELE CAPITAL MANAGEMENT, INC.	Independent wealth	Feb 14, 2017	Aug 2, 2017	no	Mount Prospect, IL\|DUBUQUE, IA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 6, 2009	Apr 16, 2009	no	CHICAGO, IL\|CHICAGO, IL\|CHARLOTTE, NC	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Jan 16, 2004	Feb 17, 2009	no	CHICAGO, IL\|CHICAGO, IL	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Jun 9, 2003	Jan 15, 2004	no	CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
STEELE CAPITAL MANAGEMENT, INC.	n/a	Aug 2, 2017	n/a	n/a	Departure no registered destination	Departure
LPL FINANCIAL LLC	DALY INVESTMENT MANAGEMENT, LLC	Apr 16, 2009	Apr 28, 2009	12	Firm change	Other
CHARLES SCHWAB & CO., INC.	LPL FINANCIAL LLC	Feb 17, 2009	Feb 6, 2009	-11	Firm change	Other
A. G. EDWARDS & SONS, INC.	CHARLES SCHWAB & CO., INC.	Jan 15, 2004	Jan 16, 2004	1	Firm change	Other

Relationships

Registered with (5)

→ DALY INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: current employment
Apr 28, 2009 to presentfactForm ADV
→ STEELE CAPITAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Feb 14, 2017 to Aug 2, 2017factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Feb 6, 2009 to Apr 16, 2009factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jan 16, 2004 to Feb 17, 2009factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Jun 9, 2003 to Jan 15, 2004factForm ADV

Dated events

No dated event names this entity yet.