THE MUSTICO FINANCIAL GROUP, INC.
Adviser information for THE MUSTICO FINANCIAL GROUP, INC. last updated from Form ADV on January 5th, 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 | New York, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 427 | $216.6M |
| Non-Discretionary | 0 | $0 |
| Total | 427 | $216.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 366 | $120.9M |
| HNW Individuals | 55 | $94.2M |
| 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 | <5 | $738,000 |
| 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 | $743,000 |
| 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 businessesPORTFOLIO MONITORING AND CONSULTING |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-67939 |
|---|---|
| SEC ERA File Number | 801-67939 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 125763 |
| Legal Entity Identifier | None |
Principal Office
221 WEST CHURCH ST.ELMIRA
NY
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 607-733-7935, Fax: 607-271-9736
Chief Compliance Officer
MICHAEL MUSTICO
PRESIDENT
221 WEST CHURCH ST.
ELMIRA
NY
United States
Tel:
607-733-7935
Fax:
607-271-9736
M******@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MUSTICO, MICHAEL, WILLIAM | Individual | – | PRESIDENT / CHIEF COMPLIANCE OFFICER | 05/2002 | > 75% |