M1 FINANCE
M1 ADVISORY SERVICES LLC Legal Name
Adviser information for M1 FINANCE last updated from Form ADV on March 7th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 24 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 24 |
| Registered State Investment Advisers | 24 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | <5 | $0 |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-106511 |
|---|---|
| SEC ERA File Number | 801-106511 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 249787 |
| Legal Entity Identifier | None |
Principal Office
200 NORTH LASALLE STREETSUITE 800
CHICAGO
IL
United States
Monday - Friday, 9:00-5:00
Tel: 312-600-2883, Fax: 312-600-2883
Websites
Chief Compliance Officer
TEALEE HINGER
200 NORTH LASALLE STREET
SUITE 800
CHICAGO
IL
United States
Tel:
312-668-0866
Fax:
312-668-0866
T*******@************M
(Full email address available in API data)
Regulatory Contact
RAYMI TODD
COMPLIANCE ADVISOR
200 NORTH LASALLE STREET
SUITE 800
CHICAGO
IL
United States
Tel:
672-851-7833
Fax:
672-851-7833
R*****@************M
(Full email address available in API data)
Industry Affiliates
| M1 FINANCE LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| M1 HOLDINGS INC. | Domestic Entity | – | OWNER | 02/2015 | > 75% |
| BARNES, BRIAN, RANDALL | Individual | – | PRESIDENT/CEO | 12/2022 | 10-25% |
| Hinger, Tealee, Marie | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2023 | < 5% |
| Matheny, Caleb, Charles | Individual | – | SECRETARY/CFO | 12/2022 | < 5% |