MBG RETIREMENT
MBG RETIREMENT, INC. Legal Name
Adviser information for MBG RETIREMENT last updated from Form ADV on January 21st, 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 | Texas, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 10 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
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 | 44 | $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 | 44 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Pension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-62750 |
|---|---|
| SEC ERA File Number | 801-62750 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 128561 |
| Legal Entity Identifier | None |
Principal Office
11700 KATY FREEWAYSUITE 1100
HOUSTON
TX
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 713-693-6113, Fax: 713-693-6113
Websites
Chief Compliance Officer
GAYLA GAUDETTE
PRESIDENT
11700 KATY FREEWAY
SUITE 1100
HOUSTON
TX
United States
Tel:
713-693-6113
Fax:
713-693-6113
G********@***************T
(Full email address available in API data)
Industry Affiliates
| HIGGINBOTHAM INSURANCE AGENCY, 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 |
|---|---|---|---|---|---|
| HAAS, ANTHONY, JAMES | Individual | – | VICE PRESIDENT | 09/2008 | < 5% |
| REID, JAMES, RUSSELL | Individual | – | CHAIRMAN | 09/2008 | < 5% |
| KRAUSE, JAMES, ANTHONY | Individual | – | SENIOR VICE PRESIDENT | 09/2008 | < 5% |
| HIG HOLDINGS, INC. | Domestic Entity | HIGGINBOTHAM INSURANCE AGENCY, INC. | 100% SHAREHOLDER OF HIGGINBOTHAM INSURANCE AGENCY, INC. | 08/2007 | > 75% |
| HIGGINBOTHAM INSURANCE AGENCY, INC. | Domestic Entity | – | 100% SHAREHOLDER OF MBG RETIREMENT, INC. | 09/2008 | > 75% |
| GAUDETTE, GAYLA, BERRY | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 03/2015 | < 5% |
| Carmichael, Ross | Individual | – | SECRETARY/TREASURER | 11/2020 | < 5% |