MASTODON ADVISORY GROUP
MASTODON ADVISORY GROUP, LLC Legal Name
Adviser information for MASTODON ADVISORY GROUP last updated from Form ADV on February 12th, 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 | Texas, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3 | $304.0M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $304.0M |
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 | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $304.0M |
| 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 AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 304.0M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WEALTHPORT WRAP PROGRAM | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. |
Identifiers
| SEC RIA File Number | 801-121403 |
|---|---|
| SEC ERA File Number | 801-121403 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 283494 |
| Legal Entity Identifier | None |
Principal Office
2651 KIPLING ST.SUITE 2602
HOUSTON
TX
United States
NOT APPLICABLE - OFFICE VISITS BY APPOINTMENT ONLY, NOT APPLICABLE - OFFICE VISITS BY APPOINTMENT ONLY
Tel: 713-893-0738, Fax: None
Chief Compliance Officer
WARREN BANE
OWNER
2651 KIPLING ST.
SUITE 2602
HOUSTON
TX
United States
Tel:
713-893-0738
W*****@**************M
(Full email address available in API data)
Industry Affiliates
| HEALTHQUOTE PRO LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BANE, WARREN | Individual | – | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | 03/2016 | > 75% |