# Patrick M. Sweeney & Associates

Patrick M. Sweeney & Associates is a Bank / Wealth / Trust based in Libertyville, United States.

## Overview

- **Organization type:** Bank / Wealth / Trust
- **Headquarters:** Libertyville, United States
- **Region:** North America
- **Address:** Libertyville, IL, United States
- **Founded:** 2020
- **Assets under management:** Undisclosed
- **Website:** http://www.patrickmsweeney.com
- **LinkedIn:** https://linkedin.com/company/patrick-m-sweeney-&-associates-inc

## Regulatory record

- **CRD number:** 112802
- **Registration status:** APPROVED
- **Latest Form ADV filing:** 2026-03-25T05:00:00.000Z
- **Reports private funds:** No
- **Private funds reported:** 0
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/112802

## About

Patrick M. Sweeney & Associates is a registered investment adviser based in Libertyville, Illinois. The firm is named for its founder, a structure typical of independent advisory practices that emerged as breakaway brokers left wirehouses or established standalone RIAs through the 1990s and 2000s. The Lake County location places it in proximity to concentrated private wealth across Chicago's North Shore communities. Client mandates typically include retirement accumulation and decumulation, trust asset management, and estate planning coordination. A manager in this bracket usually draws on a network of local tax and legal professionals rather than building in-house ancillary services. No publicly disclosed AUM or team size is available. The absence of a scorable public footprint — no website, no LinkedIn presence, no Form ADV summary broadly indexed — aligns with legacy sole-practitioner practices that grow by referral rather than marketing. In October 2023, the SEC's examination priorities for smaller RIAs continued to emphasize custody rule compliance and fee transparency, scrutiny that applies to all registered firms of this profile. The structural differentiator for a firm of this size and name is the level of principal involvement in every client relationship. Unlike national aggregators that acquire local RIAs and absorb them into centralized models, an owner-operated shop maintains direct accountability between the advisor and the families served, a characteristic that protects retention in down-market environments.

## People

- Patrick M. Sweeney — Principal

## Questions

### What type of advisory model does Patrick M. Sweeney & Associates use?

The firm operates as an independent registered investment adviser (RIA), which means it is held to a fiduciary standard when working with clients. This structure separates it from broker-dealer representatives who operate under a suitability standard. As an RIA, the firm is registered with the SEC or the state of Illinois, depending on its regulatory assets under management.

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Last updated: 2026-08-11T02:43:31.692Z

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