MBL ADVISORS
MBL WEALTH, LLC Legal Name
Adviser information for MBL ADVISORS last updated from Form ADV on February 27th, 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 | North Carolina, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 836 | $946.2M |
| Non-Discretionary | 0 | $0 |
| Total | 836 | $946.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 15 | $3.7M |
| HNW Individuals | 184 | $933.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $5.6M |
| Charitable organizations | <5 | $1,089 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $3.0M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
Principal Office
301 S. MCDOWELL STREETSUITE 1100
CHARLOTTE
NC
United States
Monday - Friday, 9-5
Tel: 704-333-8461, Fax: 704-342-0782
Chief Compliance Officer
STEPHEN MARCINIAK
CHIEF OPERATING OFFICER
301 S. MCDOWELL STREET
SUITE 1100
CHARLOTTE
NC
United States
Tel:
704-335-4531
Fax:
704-342-0782
S**************@***************M
(Full email address available in API data)
Regulatory Contact
WILLIAM R. MORTON
PARTNER
301 S. MCDOWELL STREET
SUITE 1100
CHARLOTTE
NC
United States
Tel:
704-333-8461
Fax:
704-342-0782
B***********@***************M
(Full email address available in API data)
Industry Affiliates
| MBL ADVISORS INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| THE LOCKWOOD ORGANIZATION, LLC | Domestic Entity | – | OWNER | 10/2019 | 50-75% |
| Morton, William, Read | Individual | – | PRESIDENT | 10/2019 | 25-50% |
| LOCKWOOD, LUTHER, AMOS | Individual | THE LOCKWOOD ORGANIZATION, LLC | MANAGING MEMBER | 10/2019 | > 75% |
| LOCKWOOD, LUTHER, AMOS | Individual | – | CHIEF EXECUTIVE OFFICER | 10/2019 | < 5% |
| Gift, Brian, Joseph | Individual | – | CHIEF INVESTMENT OFFICER | 10/2019 | 25-50% |
| Dry, Jonathan, Warner | Individual | – | CHIEF STRATEGY OFFICER | 10/2019 | 25-50% |
| MARCINIAK, STEPHEN, MICHAEL | Individual | – | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | 01/2023 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 19th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBVIE INC | COM | 419K | 2K | 0 |
| ABBVIE INC | COM | 285K | 2K | 2,4 |
| ABRDN ETFS | BBRG ALL COMD K1 | 1M | 50K | 0 |
| ADOBE INC | COM | 216K | 388 | 2,4 |
| ADVANCED MICRO DEVICES INC | COM | 230K | 1K | 2,4 |
| AEVA TECHNOLOGIES INC | COM NEW | 25K | 10K | 0 |
| ALPHABET INC | CAP STK CL A | 3M | 18K | 0 |
| ALPHABET INC | CAP STK CL A | 999K | 5K | 2,4 |
| ALPHABET INC | CAP STK CL C | 982K | 5K | 0 |
| ALPHABET INC | CAP STK CL C | 930K | 5K | 2,4 |
| ALTRIA GROUP INC | COM | 213K | 5K | 0 |
| AMAZON COM INC | COM | 3M | 15K | 0 |
| AMAZON COM INC | COM | 2M | 8K | 2,4 |
| AMERICAN EXPRESS CO | COM | 240K | 1K | 2,4 |
| AMGEN INC | COM | 397K | 1K | 1,2,3,4 |
| AMPLIFY ETF TR | CWP ENHANCED DIV | 31M | 812K | 0 |
| ANGEL OAK FUNDS TRUST | INCOME ETF | 9M | 438K | 0 |
| AON PLC | SHS CL A | 428K | 1K | 0 |
| APPLE INC | COM | 18M | 86K | 0 |
| APPLE INC | COM | 3M | 15K | 1,2,4 |
| APPLE INC | PUT | 695K | – | 0 |
| APPLIED MATLS INC | COM | 313K | 1K | 2,4 |
| ARM HOLDINGS PLC | SPONSORED ADS | 273K | 2K | 0 |
| B2GOLD CORP | COM | 38K | 14K | 0 |
| BANDWIDTH INC | COM CL A | 491K | 29K | 0 |
| BANK AMERICA CORP | COM | 658K | 17K | 0 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 4M | 9K | 0 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 625K | 2K | 2,4 |
| BLACKROCK INC | COM | 331K | 421 | 0 |
| BROADCOM INC | COM | 1M | 679 | 0 |
| BROADCOM INC | COM | 684K | 426 | 1,2,4 |
| C H ROBINSON WORLDWIDE INC | COM NEW | 1M | 16K | 0 |
| CAMBRIA ETF TR | EMRG SHAREHLDR | 1M | 41K | 0 |
| CANOO INC | CL A COM NEW | 31K | 15K | 0 |
| CATERPILLAR INC | COM | 481K | 1K | 1,2,4 |
| CHEVRON CORP NEW | COM | 726K | 5K | 0 |
| CHEVRON CORP NEW | COM | 307K | 2K | 1,2,4 |
| CHUBB LIMITED | COM | 213K | 835 | 0 |
| CISCO SYS INC | COM | 266K | 6K | 0 |
| COCA COLA CO | COM | 287K | 5K | 0 |
| CONOCOPHILLIPS | COM | 242K | 2K | 1,2,3,4 |
| COSTCO WHSL CORP NEW | COM | 855K | 1K | 0 |
| COSTCO WHSL CORP NEW | COM | 369K | 434 | 2,4 |
| DEERE & CO | COM | 231K | 617 | 0 |
| DEERE & CO | COM | 235K | 629 | 1,2,4 |
| DIMENSIONAL ETF TRUST | NATL MUN BD ETF | 33M | 698K | 0 |
| DIMENSIONAL ETF TRUST | US MKTWIDE VALUE | 284K | 7K | 0 |
| DIREXION SHS ETF TR | AUSPCE CMD STG | 2M | 83K | 0 |
| DOVER CORP | COM | 207K | 1K | 0 |
| DUKE ENERGY CORP NEW | COM NEW | 612K | 6K | 0 |
| ELI LILLY & CO | COM | 588K | 650 | 0 |
| ELI LILLY & CO | COM | 669K | 739 | 2,4 |
| ENTERPRISE PRODS PARTNERS L | COM | 209K | 7K | 0 |
| EVERQUOTE INC | COM CL A | 746K | 36K | 0 |
| EXXON MOBIL CORP | COM | 621K | 5K | 0 |
| EXXON MOBIL CORP | COM | 293K | 3K | 2,4 |
| F N B CORP | COM | 256K | 19K | 0 |
| FIRST CTZNS BANCSHARES INC N | CL A | 1M | 602 | 0 |
| FIRST TR EXCH TRADED FD III | MUNI HI INCM ETF | 3M | 71K | 0 |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | 4M | 89K | 0 |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | 1M | 25K | 0 |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | 5M | 104K | 0 |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | 311K | 6K | 0 |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | 469K | 10K | 0 |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | 8M | 171K | 0 |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | 5M | 119K | 0 |
| FLYEXCLUSIVE INC | COM CL A | 77K | 19K | 0 |
| FORTREA HLDGS INC | COMMON STOCK | 987K | 42K | 0 |
| FREEPORT-MCMORAN INC | CL B | 223K | 5K | 1,2,4 |
| GLOBAL X FDS | GLB X MLP ENRG I | 335K | 7K | 0 |
| GLOBAL X FDS | GLBL X MLP ETF | 5M | 106K | 0 |
| GOLDMAN SACHS ETF TR | ACCES TREASURY | 9M | 89K | 0 |
| GOLDMAN SACHS ETF TR | ACTIVEBETA US LG | 257K | 2K | 0 |
| GOLDMAN SACHS GROUP INC | COM | 509K | 1K | 0 |
| GOLDMAN SACHS GROUP INC | COM | 490K | 1K | 1,2,4 |
| HOME DEPOT INC | COM | 1M | 3K | 0 |
| HOME DEPOT INC | COM | 678K | 2K | 1,2,4 |
| HONEYWELL INTL INC | COM | 409K | 2K | 0 |
| HONEYWELL INTL INC | COM | 404K | 2K | 1,2,3,4 |
| INNOVATOR ETFS TRUST | EMRGNG MKT JAN | 4M | 128K | 0 |
| INNOVATOR ETFS TRUST | US EQT PWR BUF | 374K | 11K | 0 |
| INNOVATOR ETFS TRUST | US EQT ULTRA BF | 733K | 20K | 0 |
| INNOVATOR ETFS TRUST | US EQT ULTRA BF | 912K | 27K | 0 |
| INNOVATOR ETFS TRUST | US EQT ULTRA BF | 5M | 135K | 0 |
| INNOVATOR ETFS TRUST | US EQTY PWR BUF | 8M | 225K | 0 |
| INNOVATOR ETFS TRUST | US EQTY PWR BUF | 211K | 6K | 0 |
| INNOVATOR ETFS TRUST | US EQTY PWR BUF | 4M | 115K | 0 |
| INNOVATOR ETFS TRUST | US EQTY PWR BUF | 9M | 232K | 0 |
| INNOVATOR ETFS TRUST | US EQTY PWR BUF | 437K | 11K | 0 |
| INNOVATOR ETFS TRUST | US EQTY PWR BUF | 3M | 84K | 0 |
| INNOVATOR ETFS TRUST | US SML CP PWR B | 12M | 347K | 0 |
| INTERNATIONAL BUSINESS MACHS | COM | 395K | 2K | 0 |
| INVESCO ACTVELY MNGD ETC FD | OPTIMUM YIELD | 6M | 433K | 0 |
| INVESCO EXCH TRADED FD TR II | FNDMNTL HY CRP | 6M | 347K | 0 |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL ENR | 2M | 22K | 0 |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL TEC | 5M | 128K | 0 |
| ISHARES GOLD TR | ISHARES NEW | 527K | 12K | 0 |
| ISHARES INC | CORE MSCI EMKT | 28M | 530K | 0 |
| ISHARES INC | MSCI EMRG CHN | 7M | 118K | 0 |
| ISHARES INC | MSCI JPN ETF NEW | 3M | 48K | 0 |
| ISHARES TR | 1 3 YR TREAS BD | 13M | 160K | 0 |
| ISHARES TR | 3 7 YR TREAS BD | 22M | 195K | 0 |
| ISHARES TR | CORE 1 5 YR USD | 32M | 678K | 0 |
| ISHARES TR | CORE MSCI EAFE | 20M | 281K | 0 |
| ISHARES TR | CORE MSCI INTL | 16M | 240K | 0 |
| ISHARES TR | CORE S&P MCP ETF | 43M | 734K | 0 |
| ISHARES TR | CORE S&P SCP ETF | 25M | 237K | 0 |
| ISHARES TR | CORE S&P TTL STK | 719K | 6K | 0 |
| ISHARES TR | CORE S&P500 ETF | 1M | 2K | 0 |
| ISHARES TR | CORE US AGGBD ET | 743K | 8K | 0 |
| ISHARES TR | CRE U S REIT ETF | 446K | 8K | 0 |
| ISHARES TR | IBONDS 27 TRM TS | 6M | 264K | 0 |
| ISHARES TR | IBOXX HI YD ETF | 245K | 3K | 0 |
| ISHARES TR | ISHS 1-5YR INVS | 400K | 8K | 0 |
| ISHARES TR | MSCI EAFE ETF | 901K | 12K | 0 |
| ISHARES TR | MSCI INTL QUALTY | 1M | 29K | 0 |
| ISHARES TR | MSCI USA QLT FCT | 618K | 4K | 0 |
| ISHARES TR | NEW YORK MUN ETF | 331K | 6K | 0 |
| ISHARES TR | RUS 1000 ETF | 235K | 791 | 0 |
| ISHARES TR | RUS 1000 GRW ETF | 1M | 4K | 0 |
| ISHARES TR | RUS 1000 VAL ETF | 322K | 2K | 0 |
| ISHARES TR | RUS MID CAP ETF | 2M | 19K | 0 |
| ISHARES TR | RUS TP200 GR ETF | 1M | 5K | 0 |
| ISHARES TR | RUS TP200 VL ETF | 628K | 8K | 0 |
| ISHARES TR | RUSSELL 2000 ETF | 1M | 7K | 0 |
| ISHARES TR | S&P MC 400VL ETF | 204K | 2K | 0 |
| ISHARES TR | SHRT NAT MUN ETF | 10M | 94K | 0 |
| J P MORGAN EXCHANGE TRADED F | NASDAQ EQT PREM | 11M | 198K | 0 |
| J P MORGAN EXCHANGE TRADED F | U S TECH LEADERS | 2M | 35K | 0 |
| J P MORGAN EXCHANGE TRADED F | US QUALTY FCTR | 318K | 6K | 0 |
| J P MORGAN EXCHANGE TRADED F | US VALUE FACTR | 490K | 12K | 0 |
| JANUS DETROIT STR TR | B-BBB CLO ETF | 4M | 81K | 0 |
| JANUS DETROIT STR TR | HENDRSON AAA CL | 7M | 135K | 0 |
| JOHNSON & JOHNSON | COM | 527K | 4K | 0 |
| JOHNSON & JOHNSON | COM | 229K | 2K | 1,2,4 |
| JPMORGAN CHASE & CO. | COM | 1M | 6K | 0 |
| JPMORGAN CHASE & CO. | COM | 960K | 5K | 1,2,4 |
| LABCORP HOLDINGS INC | COM SHS | 9M | 42K | 0 |
| LAM RESEARCH CORP | COM | 207K | 194 | 2,4 |
| LOCKHEED MARTIN CORP | COM | 250K | 536 | 0 |
| LOWES COS INC | COM | 691K | 3K | 0 |
| LUCID GROUP INC | COM | 62K | 24K | 0 |
| MARATHON PETE CORP | COM | 228K | 1K | 1,2,4 |
| MARKEL GROUP INC | COM | 217K | 138 | 0 |
| MASTERCARD INCORPORATED | CL A | 206K | 468 | 0 |
| MASTERCARD INCORPORATED | CL A | 364K | 826 | 2,3,4 |
| MATTERPORT INC | COM CL A | 337K | 76K | 0 |
| MCDONALDS CORP | COM | 372K | 1K | 1,2,4 |
| MERCK & CO INC | COM | 713K | 6K | 0 |
| MERCK & CO INC | COM | 517K | 4K | 1,2,4 |
| META PLATFORMS INC | CL A | 3M | 5K | 0 |
| META PLATFORMS INC | CL A | 953K | 2K | 2,3,4 |
| MICROSOFT CORP | COM | 5M | 11K | 0 |
| MICROSOFT CORP | COM | 3M | 8K | 1,2,4 |
| NETFLIX INC | COM | 300K | 444 | 2,4 |
| NORFOLK SOUTHN CORP | COM | 610K | 3K | 0 |
| NVIDIA CORPORATION | COM | 6M | 49K | 0 |
| NVIDIA CORPORATION | COM | 3M | 20K | 2,4 |
| ORACLE CORP | COM | 483K | 3K | 0 |
| ORACLE CORP | COM | 242K | 2K | 2,4 |
| PACER FDS TR | TRENDP US LAR CP | 13M | 271K | 0 |
| PACER FDS TR | TRENDP US MID CP | 7M | 190K | 0 |
| PACER FDS TR | TRENDPILOT INTL | 6M | 212K | 0 |
| PACER FDS TR | US CASH COWS 100 | 9M | 167K | 0 |
| PARK NATL CORP | COM | 845K | 6K | 0 |
| PAYPAL HLDGS INC | COM | 244K | 4K | 0 |
| PEAKSTONE REALTY TRUST | COMMON SHARES | 112K | 11K | 0 |
| PEPSICO INC | COM | 204K | 1K | 2,4 |
| PFIZER INC | COM | 206K | 7K | 0 |
| PIMCO ETF TR | ACTIVE BD ETF | 405K | 4K | 0 |
| PIMCO ETF TR | INTER MUN BD ACT | 22M | 421K | 0 |
| PIMCO ETF TR | SHTRM MUN BD ACT | 1M | 24K | 0 |
| PROCTER AND GAMBLE CO | COM | 346K | 2K | 0 |
| PROCTER AND GAMBLE CO | COM | 641K | 4K | 1,2,4 |
| RBB FD INC | US TREAS 3 MNTH | 650K | 13K | 0 |
| RIVIAN AUTOMOTIVE INC | COM CL A | 279K | 21K | 0 |
| ROBLOX CORP | CL A | 447K | 12K | 0 |
| RTX CORPORATION | COM | 513K | 5K | 0 |
| SALESFORCE INC | COM | 329K | 1K | 0 |
| SCHWAB STRATEGIC TR | INTL EQTY ETF | 570K | 15K | 0 |
| SCHWAB STRATEGIC TR | INTL SCEQT ETF | 231K | 7K | 0 |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 349K | 4K | 0 |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 6M | 97K | 0 |
| SCHWAB STRATEGIC TR | US SML CAP ETF | 894K | 19K | 0 |
| SELECT SECTOR SPDR TR | ENERGY | 966K | 11K | 0 |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 459K | 3K | 0 |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 669K | 3K | 0 |
| SIMON PPTY GROUP INC NEW | COM | 788K | 5K | 0 |
| SOLID POWER INC | CLASS A COM | 74K | 45K | 0 |
| SPDR GOLD TR | GOLD SHS | 3M | 12K | 0 |
| SPDR INDEX SHS FDS | PORTFOLIO DEVLPD | 328K | 9K | 0 |
| SPDR S&P 500 ETF TR | PUT | 2M | – | 0 |
| SPDR S&P 500 ETF TR | TR UNIT | 108M | 198K | 0 |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 268K | 500 | 0 |
| SPDR SER TR | BLOOMBERG 1-3 MO | 74M | 812K | 0 |
| SPDR SER TR | BLOOMBERG 1-3 MO | 455K | 5K | Capital Wealth Planning, LLC |
| SPDR SER TR | NUVEEN BLOOMBERG | 482K | 19K | 0 |
| SPDR SER TR | PRTFLO S&P500 HI | 986K | 25K | 0 |
| SPDR SER TR | PRTFLO S&P500 VL | 421K | 9K | 0 |
| SPROTT PHYSICAL GOLD & SILVE | TR UNIT | 325K | 15K | 0 |
| SSGA ACTIVE ETF TR | SPDR TR TACTIC | 6M | 153K | 0 |
| SSGA ACTIVE TR | SPDR DBLELN SHRT | 587K | 13K | 0 |
| STANDARD LITHIUM LTD | COM | 383K | 306K | 0 |
| STRYKER CORPORATION | COM | 290K | 853 | 0 |
| SUNRUN INC | COM | 143K | 12K | 0 |
| TESLA INC | COM | 622K | 3K | 0 |
| TESLA INC | COM | 395K | 2K | 2,4 |
| TEXAS INSTRS INC | COM | 247K | 1K | 0 |
| THERMO FISHER SCIENTIFIC INC | COM | 337K | 609 | 0 |
| TJX COS INC NEW | COM | 288K | 3K | 1,2,4 |
| TRIMTABS ETF TR | FCF US QLTY ETF | 535K | 9K | 0 |
| TRUIST FINL CORP | COM | 286K | 7K | 0 |
| UBER TECHNOLOGIES INC | COM | 418K | 6K | 0 |
| UBS AG LONDON BRANCH | ETRACS ALER MLP | 1M | 57K | 0 |
| UNITEDHEALTH GROUP INC | COM | 405K | 795 | 0 |
| UNITEDHEALTH GROUP INC | COM | 796K | 2K | 1,2,4 |
| VANGUARD BD INDEX FDS | SHORT TRM BOND | 992K | 13K | 0 |
| VANGUARD INDEX FDS | MCAP GR IDXVIP | 247K | 1K | 0 |
| VANGUARD INDEX FDS | MID CAP ETF | 6M | 23K | 0 |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 4M | 46K | 0 |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 1M | 3K | 0 |
| VANGUARD INDEX FDS | SMALL CP ETF | 583K | 3K | 0 |
| VANGUARD INDEX FDS | TOTAL STK MKT | 233K | 871 | 0 |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 2M | 46K | 0 |
| VANGUARD WORLD FD | INF TECH ETF | 2M | 3K | 0 |
| VERIZON COMMUNICATIONS INC | COM | 336K | 8K | 0 |
| VERIZON COMMUNICATIONS INC | COM | 269K | 7K | 1,2,4 |
| VERTEX PHARMACEUTICALS INC | COM | 367K | 783 | 0 |
| VICTORY PORTFOLIOS II | CORE INTERMEDIAT | 21M | 448K | 0 |
| VISA INC | COM CL A | 683K | 3K | 0 |
| VISA INC | COM CL A | 816K | 3K | 1,2,4 |
| WALMART INC | COM | 571K | 8K | 0 |
| WALMART INC | COM | 474K | 7K | 1,2,4 |
| WELLS FARGO CO NEW | COM | 287K | 5K | 0 |
| WORLD GOLD TR | SPDR GLD MINIS | 26M | 574K | 0 |
| XPENG INC | ADS | 143K | 20K | 0 |