MIAMI VALLEY PORTFOLIO MANAGEMENT INC
Adviser information for MIAMI VALLEY PORTFOLIO MANAGEMENT INC last updated from Form ADV on March 26th, 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 | Ohio, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 976 | $151.4M |
| Non-Discretionary | 2 | $1.9M |
| Total | 978 | $153.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 530 | $65.4M |
| HNW Individuals | 162 | $70.1M |
| 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 | $5.0M |
| Charitable organizations | <5 | $11.9M |
| 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 | $935,234 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-121421 |
|---|---|
| SEC ERA File Number | 801-121421 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106389 |
| Legal Entity Identifier | None |
Principal Office
475 ARLINGTON ROADBROOKVILLE
OH
United States
Monday - Friday, 8:30 A.M. - 5:00 P.M.
Tel: 937-833-4043, Fax: 937-833-4920
Websites
Chief Compliance Officer
MORAN, MICHAEL A
CHIEF COMPLIANCE OFFICER
475 ARLINGTON ROAD
BROOKVILLE
OH
United States
Tel:
937-833-4043
Fax:
937-833-4920
M***@*******************M
(Full email address available in API data)
Regulatory Contact
THOMAS SHEA
COMPLIANCE CONSULTANT
4540 N MAPLEWOOD AVE
CHICAGO
IL
United States
Tel:
815-782-1250
T**@*************************M
(Full email address available in API data)
Industry Affiliates
| BEHNKEN FINANCIAL SERVICES | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BEHNKEN, SCOTT, EARL | Individual | – | PRESIDENT | 03/1992 | 25-50% |
| BEHNKEN, KENT, ANDREW | Individual | – | VICE-PRESIDENT | 03/1992 | 25-50% |
| MORAN, MICHAEL, ANDREW | Individual | – | CHIEF COMPLIANCE OFFICER | 03/1992 | 25-50% |