MWP ADVISORY, LLC
Adviser information for MWP ADVISORY, LLC last updated from Form ADV on March 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 | Delaware, United States |
Employees
| Total Number of Employees | 25 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $578.1M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $578.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $578.1M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $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 pooled investment vehicles |
|---|---|
| Compensation | EXPENSE REIMBURSEMENT |
Identifiers
| SEC RIA File Number | 801-119015 |
|---|---|
| SEC ERA File Number | 801-119015 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 309573 |
| Legal Entity Identifier | None |
Principal Office
600 MADISON AVENUE17TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 646-979-4070, Fax: None
Chief Compliance Officer
THOMAS K YATES
COMPLIANCE CONSULTANT
892 PLAIN STREET
SUITE 10
MARSHFIELD
MA
United States
Tel:
(617) 795-3037
T*****@****************M
(Full email address available in API data)
Industry Affiliates
| SEXTANT SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| MERCHANT WEALTH PARTNERS LLC | Private Equity Fund | $578.1M | $5.0M | 103 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MERCHANT INVESTMENT MANAGEMENT, LLC | Domestic Entity | – | MEMBER | 06/2020 | > 75% |
| Yates, Thomas, Kenneth | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2020 | < 5% |
| MERCHANT INVESTMENT MANAGEMENT HOLDINGS, LLC | Domestic Entity | MERCHANT INVESTMENT MANAGEMENT, LLC | OWNER | 06/2017 | > 75% |
| SPILKER, MARC, ADAM | Individual | – | CO-CHAIRMAN | 06/2020 | < 5% |
| PRINCE, SCOTT, STEVEN | Individual | – | CO-CHAIRMAN | 06/2020 | < 5% |
| BELLO, TIMOTHY, JUDE | Individual | – | MANAGING PARTNER | 06/2020 | < 5% |
| STAFF, BRYAN, AARON | Individual | – | MANAGING PARTNER | 06/2020 | < 5% |
| D'AMICO, RICHARD, A | Individual | – | PARTNER | 06/2020 | < 5% |
| BRINKER, MATTHEW, KELLY | Individual | – | MANAGING PARTNER | 06/2020 | < 5% |
| MRAZIK, DAVID, MICHAEL | Individual | – | MANAGING PARTNER | 06/2020 | < 5% |