RESEARCH & PORTFOLIO MANAGEMENT
MCW FINANCIAL, INC. Legal Name
Adviser information for RESEARCH & PORTFOLIO MANAGEMENT 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Kentucky, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 226 | $110.0M |
| Non-Discretionary | 7 | $5.1M |
| Total | 233 | $115.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 228 | $83.5M |
| HNW Individuals | 5 | $31.6M |
| 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 | 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 individuals and/or small businesses |
|---|---|
| Compensation | % of AUMCommissions |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-121337 |
|---|---|
| SEC ERA File Number | 801-121337 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 157609 |
| Legal Entity Identifier | None |
Principal Office
634 BUTTERMILK PIKECRESCENT SPRINGS
KY
United States
Monday - Friday, 8:00 A.M - 5:00 P.M.
Tel: (859) 578-2200, Fax: (859) 578-2206
Chief Compliance Officer
MICHAEL CHARLES WEBER
PRESIDENT AND CHIEF COMPLIANCE OFFICER
BUTTERMILK PIKE
634
CRESCENT SPRINGS
KY
United States
Tel:
(859) 578-2200
Fax:
(859) 578-2206
M************@*********************************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WEBER, MICHAEL, CHARLES | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 05/1997 | > 75% |