MDK FINANCIAL GROUP, INC.
Adviser information for MDK FINANCIAL GROUP, INC. last updated from Form ADV on March 31st, 2023. 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 | Texas, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| 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 | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 485 | $135.7M |
| Non-Discretionary | 27 | $10.5M |
| Total | 512 | $146.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 452 | $94.9M |
| HNW Individuals | 33 | $51.2M |
| 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 | 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 | 2 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-122791 |
|---|---|
| SEC ERA File Number | 801-122791 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 316876 |
| Legal Entity Identifier | None |
Principal Office
1912 BRANARD ST.HOUSTON
TX
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 713-665-3880, Fax: 713-665-3884
Websites
Chief Compliance Officer
MITCH ROBINSON
1912 BRANARD STREET
HOUSTON
TX
United States
Tel:
405-475-7801
Fax:
713-665-3884
M********@**********M
(Full email address available in API data)
Industry Affiliates
| ADAPTATION FINANCIAL ADVISORS INC. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ADAPTATION FINANCIAL ADVISORS INC. | Domestic Entity | – | SHAREHOLDER | 08/2021 | > 75% |
| NIEMANN, ALAN, PHILIP | Individual | ADAPTATION FINANCIAL ADVISORS INC. | SHAREHOLDER | 02/2020 | > 75% |
| ROBINSON, MITCHELL, KEAN | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |
| NIEMANN, ALAN, PHILIP | Individual | – | PRESIDENT | 03/2023 | < 5% |