MONTGOMERY FINANCIAL
MONTGOMERY FINANCIAL SERVICES, LLC Legal Name
Adviser information for MONTGOMERY FINANCIAL last updated from Form ADV on February 20th, 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 | Maryland, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 897 | $112.9M |
| Non-Discretionary | 0 | $0 |
| Total | 897 | $112.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 327 | $82.5M |
| HNW Individuals | 16 | $28.5M |
| 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 | 18 | $1.9M |
| Charitable organizations | <5 | $22,500 |
| 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 | $23,000 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCO-ADVISOR FEES |
Identifiers
| SEC RIA File Number | 801-129508 |
|---|---|
| SEC ERA File Number | 801-129508 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 170024 |
| Legal Entity Identifier | None |
Principal Office
11718 OCEAN GATEWAYOCEAN CITY
MD
United States
Monday - Friday, 9-4
Tel: 410-208-1004, Fax: 443-221-2180
Chief Compliance Officer
JEFFREY MONTGOMERY
MANAGING MEMBER
11718 OCEAN GATEWAY
OCEAN CITY
MD
United States
Tel:
410-208-1004
Fax:
443-221-2180
J***@************M
(Full email address available in API data)
Regulatory Contact
JOANI GURSKY
DIRECTOR OF OPERATIONS
11718 OCEAN GATEWAY
OCEAN CITY
MD
United States
Tel:
410-208-1004
Fax:
443-221-2180
J****@************M
(Full email address available in API data)
Industry Affiliates
| LOFTICE FINANCIAL SERVICES, LLC | Insurance company or agency |
| MFS WEALTH LLC | Insurance company or agency |
| MFS WEALTH LLC | Insurance company or agency |
| MFS WEALTH LLC | Insurance company or agency |
| MFS WEALTH LLC | Insurance company or agency |
| NATIONAL BENEFIT CORP. D/B/A THE ADVANTAGE RETIREMENT GROUP | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MONTGOMERY, JEFFREY, DAVID | Individual | – | CHIEF COMPLIANCE OFFICER/MANAGING MEMBER | 12/2013 | > 75% |