MGM LLC
Adviser information for MGM LLC 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New Mexico, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 261 | $144.7M |
| Non-Discretionary | 0 | $0 |
| Total | 261 | $144.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 212 | $65.9M |
| HNW Individuals | 45 | $77.2M |
| 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 | <5 | $1.6M |
| 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 chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-64672 |
|---|---|
| SEC ERA File Number | 801-64672 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 136725 |
| Legal Entity Identifier | None |
Principal Office
5600 EUBANK BLVD NESUITE 260
ALBUQUERQUE
NM
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 505-346-3434, Fax: 505-346-3435
Chief Compliance Officer
CHRISTOPHER HICKS
CHIEF COMPLIANCE OFFICER
3395 SW GARDENVIEW AVENUE
PORTLAND
OR
United States
Tel:
503-292-5853
Fax:
503-292-5863
C****@**********************M
(Full email address available in API data)
Regulatory Contact
MICHAEL ALBILLAR
GENERAL MANGER / IAR
5600 EUBANK BLVD NE
SUITE 260
ALBUQUERQUE
NM
United States
Tel:
505-346-3434
Fax:
505-346-3435
M******@**********M
(Full email address available in API data)
Industry Affiliates
| CS PLANNING CORP | Other investment adviser, including financial planners |
| FOCUSPOINT SOLUTIONS, INC. | Other investment adviser, including financial planners |
| PALOUSE CAPITAL MANAGEMENT, INC. | Other investment adviser, including financial planners |
| THE H GROUP WASHINGTON, INC. | Other investment adviser, including financial planners |
| THE H GROUP, 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 |
|---|---|---|---|---|---|
| HICKS, CHRISTOPHER, KEIL | Individual | – | MANAGING MEMBER / CHIEF COMPLIANCE OFFICER | 07/2012 | > 75% |