MBIA CAPITAL ADVISORS
M&B INVESTMENT ADVISORS, LLC Legal Name
Adviser information for MBIA CAPITAL ADVISORS last updated from Form ADV on March 29th, 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 | Ohio, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 445 | $135.2M |
| Non-Discretionary | 0 | $0 |
| Total | 445 | $135.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 203 | $131.1M |
| 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 | 14 | $2.7M |
| Charitable organizations | <5 | $1.3M |
| 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 | 221 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 89.4M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| MBIA CAPITAL ADVISORS WRAP FEE PROGRAM | MBIA CAPITAL ADVISORS |
Identifiers
| SEC RIA File Number | 801-129985 |
|---|---|
| SEC ERA File Number | 801-129985 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 154255 |
| Legal Entity Identifier | None |
Principal Office
1248 SPRINGFIELD PIKENA
CINCINNATI
OH
United States
Monday - Friday, 8 AM TO 5 PM
Tel: 513-324-2201, Fax: 513-775-2175
Chief Compliance Officer
MICHAEL W. BAIN, JR.
MEMBER
1248 SPRINGFIELD PIKE
CINCINNATI
OH
United States
Tel:
513-324-2201
Fax:
513-775-2175
M****@***********M
(Full email address available in API data)
Regulatory Contact
KURT A MARTY
MEMBER
1248 SPRINGFIELD PIKE
CINCINNATI
OH
United States
Tel:
513-602-1222
Fax:
513-775-2175
K*****@***********M
(Full email address available in API data)
Industry Affiliates
| MMB CPAS & ADVISORS | Accountant or accounting firm |
| TAX AND WEALTH PLANNING STRATEGIES, LLC | Accountant or accounting firmInsurance company or agency |
| TED MARTY & ASSOCIATES, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MARTY, KURT, A | Individual | – | MEMBER | 06/2010 | 50-75% |
| BAIN, MICHAEL, WINSTON | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2010 | 50-75% |