Hedge Fund Database

MACH-1 FINANCIAL GROUP, LLC

Adviser information for MACH-1 FINANCIAL GROUP, LLC last updated from Form ADV on March 14th, 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 Arkansas, United States

Employees

Total Number of Employees 19
Investment Advisory/Research 6
Registered Broker-Dealer Representatives 2
Registered State Investment Advisers 6
Licensed Agents of an Insurance Company 6
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 3,089 $354.4M
Non-Discretionary 0 $0
Total 3,089 $354.4M

Clients

Type Number RAUM
Individuals 1,190 $267.7M
HNW Individuals 50 $85.2M
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 0 $0
Charitable organizations <5 $1.3M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses <5 $237,949
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 businessesSelection of other advisers (including private fund managers)
Compensation % of AUM

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 164.2M
Portfolio Manager 0
Both for Same 177.2M
Portfolio Manager to Program Sponsor
MACH-1 FINANCIAL WRAP FEE PROGRAM MACH-1 FINANCIAL GROUP, LLC

Identifiers

SEC RIA File Number 801-118093
SEC ERA File Number 801-118093
SEC CIK Numbers 1843358
SEC CRD Numbers 298195
Legal Entity Identifier None

Principal Office

1001 S. 52ND STREET
SUITE 100
ROGERS
AR
United States
Monday - Friday, 8:30 AM - 4:30 PM M-TH; 8:30 AM -2 PM FRI
Tel: 479-876-2100, Fax: 479-876-2960

Websites

mach-1financial.com/ www.linkedin.com/company/2415871/admin/ twitter.com/mach1financial www.youtube.com/channel/uchp7b9gvzkuxefuf95m1wca www.facebook.com/groups/1324182948386906 www.facebook.com/mach1financial/ www.instagram.com/mach1financialgroup?igsh=bnnqmgrubxhhn2sy www.youtube.com/channel/ucqnu9pqwzyhh0q9pfxkmowa www.youtube.com/channel/ucy952sl-hikrkipab0tbvra

Chief Compliance Officer

TAMMY LAWLER
CONTROLLER
1001 S. 52ND STREET
SUITE 100
ROGERS
AR
United States
Tel: 479-876-2100
Fax: 479-876-2960
(Full email address available in API data)

Regulatory Contact

MATTHEW WALTERS
CEO & PARTNER
1001 S. 52ND STREET
SUITE 100
ROGERS
AR
United States
Tel: 479-876-2100
Fax: 479-876-2960
(Full email address available in API data)

Industry Affiliates

DAVID A LEE, 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
LEE, DAVID, AARON Individual – FOUNDER & MANAGING PARTNER 01/2023 < 5%
MACH-1 HOLDINGS, INC. Domestic Entity – OWNER 09/2021 > 75%
LEE, DAVID, AARON Individual MACH-1 HOLDINGS, INC. TRUSTEE OF THE LEE FAMILY TRUST 01/2021 > 75%
LAWLER, TAMMY, LAGENE Individual – CHIEF COMPLIANCE OFFICER 02/2022 < 5%
Walters, Matthew, Jordan Individual – CEO & OWNER 09/2021 10-25%
MACKEY, JAMES, LEE Individual – PRESIDENT, COO & OWNER 01/2023 5-10%

No. Employees, Historic

201002020202120222023202420259 on 1/17/20209 on 4/13/20209 on 6/2/20209 on 6/16/20209 on 9/24/202010 on 2/5/202110 on 10/6/202110 on 10/18/202112 on 3/25/202213 on 4/8/202213 on 4/14/202213 on 5/25/202213 on 10/28/202216 on 3/10/202316 on 4/18/202316 on 5/15/202316 on 10/5/202316 on 1/19/202419 on 3/14/2024

RAUM, Historic

400M200M0202020212022202320242025126008773 on 1/17/2020126008773 on 4/13/2020126008773 on 6/2/2020126008773 on 6/16/2020126008773 on 9/24/2020189233500 on 2/5/2021189233500 on 10/6/2021189233500 on 10/18/2021272649449 on 3/25/2022272649449 on 4/8/2022272649449 on 4/14/2022272649449 on 5/25/2022272649449 on 10/28/2022270638362 on 3/10/2023270638362 on 4/18/2023270638362 on 5/15/2023270638362 on 10/5/2023270638362 on 1/19/2024354368522 on 3/14/2024

No. Clients, Historic

2,0001,0000202020212022202320242025921 on 1/17/2020921 on 4/13/2020921 on 6/2/2020921 on 6/16/2020921 on 9/24/2020726 on 2/5/2021726 on 10/6/2021726 on 10/18/2021877 on 3/25/2022877 on 4/8/2022877 on 4/14/2022877 on 5/25/2022877 on 10/28/20221031 on 3/10/20231031 on 4/18/20231031 on 5/15/20231031 on 10/5/20231031 on 1/19/20241240 on 3/14/2024

Holdings

From latest 13F, filed July 30th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBVIE INC COM 213K 1K –
ALPHABET INC CAP STK CL A 849K 5K –
ALPS ETF TR ALERIAN MLP 492K 10K –
AMAZON COM INC COM 3M 13K –
APPLE INC COM 3M 12K –
AT&T INC COM 217K 11K –
BANK AMERICA CORP COM 282K 7K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 349K 857 –
BROADCOM INC COM 218K 136 –
CHEVRON CORP NEW COM 3M 22K –
COCA COLA CO COM 224K 4K –
DIMENSIONAL ETF TRUST US CORE EQUITY 2 280K 9K –
DISNEY WALT CO COM 306K 3K –
ELI LILLY & CO COM 594K 651 –
EXXON MOBIL CORP COM 357K 3K –
FIRST TR EXCH TRD ALPHDX FD INDIA NFTY50 EQW 3M 53K –
FIRST TR EXCHANGE TRADED FD GROWTH STRENGTH 10M 322K –
FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 207K 2K –
FIRST TR EXCHANGE-TRADED FD NASDAQ BUYWRITE 304K 15K –
FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 7M 123K –
FIRST TR EXCHANGE-TRADED FD INTERMEDIATE DUR 4M 206K –
FIRST TR EXCHANGE-TRADED FD FT VEST S&P 500 379K 8K –
FIRST TR EXCHANGE-TRADED FD SMID RISNG ETF 8M 231K –
FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 19M 439K –
FIRST TR EXCHNG TRADED FD VI TCW UNCONSTRAI 6M 260K –
FIRST TR EXCHNG TRADED FD VI FT VEST LADDERED 3M 107K –
FIRST TR EXCHNG TRADED FD VI FT VEST LADDERED 8M 270K –
FIRST TR MORNINGSTAR DIVID L SHS 6M 168K –
FIRST TR NAS100 EQ WEIGHTED SHS 2M 17K –
FIRST TR VALUE LINE DIVID IN SHS 547K 13K –
HUNT J B TRANS SVCS INC COM 324K 2K –
INVESCO QQQ TR UNIT SER 1 2M 4K –
ISHARES TR RUS MID CAP ETF 421K 5K –
ISHARES TR EAFE GRWTH ETF 277K 3K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 5M 107K –
J P MORGAN EXCHANGE TRADED F HEDGED EQUITY LA 3M 53K –
J P MORGAN EXCHANGE TRADED F NASDAQ EQT PREM 7M 122K –
JOHNSON & JOHNSON COM 294K 3K –
JPMORGAN CHASE & CO. COM 787K 4K –
LOWES COS INC COM 227K 1K –
LULULEMON ATHLETICA INC COM 254K 852 –
MARATHON PETE CORP COM 200K 1K –
META PLATFORMS INC CL A 950K 2K –
MICROSOFT CORP COM 2M 4K –
MORGAN STANLEY COM NEW 587K 6K –
NVIDIA CORPORATION COM 3M 23K –
PEPSICO INC COM 261K 2K –
PROCTER AND GAMBLE CO COM 464K 3K –
QUALCOMM INC COM 298K 1K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 429K 6K –
SPDR GOLD TR GOLD SHS 391K 2K –
SPDR INDEX SHS FDS MSCI ACWI EXUS 6M 195K –
SPDR S&P 500 ETF TR TR UNIT 54K 100 –
SPDR S&P 500 ETF TR TR UNIT 975K 2K –
SPDR S&P 500 ETF TR TR UNIT 6M 12K –
SPDR SER TR PORTFOLIO CRPORT 206K 7K –
SPDR SER TR PORTFOLIO SH TSR 280K 10K –
SPDR SER TR PRTFLO S&P500 GW 596K 7K –
SPDR SER TR PORTFOLIO S&P500 464K 7K –
SPDR SER TR PRTFLO S&P500 HI 253K 6K –
TESLA INC COM 473K 2K –
TJX COS INC NEW COM 209K 2K –
TRAVELERS COMPANIES INC COM 237K 1K –
TYSON FOODS INC CL A 557K 10K –
UNION PAC CORP COM 256K 1K –
VANGUARD ADMIRAL FDS INC SMLLCP 600 IDX 398K 4K –
VANGUARD INDEX FDS S&P 500 ETF SHS 300K 599 –
VANGUARD SCOTTSDALE FDS INT-TERM CORP 274K 3K –
VANGUARD WHITEHALL FDS EM MK GOV BD ETF 228K 4K –
WALMART INC COM 11M 161K –
WELLS FARGO CO NEW COM 423K 7K –
WHEATON PRECIOUS METALS CORP COM 203K 4K –
WISDOMTREE TR US HGH YLD CORP 257K 6K –
WP CAREY INC COM 212K 4K –