Hedge Fund Database

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

Adviser information for MINICHMACGREGOR WEALTH MANAGEMENT, LLC last updated from Form ADV on January 30th, 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 New York, United States

Employees

Total Number of Employees 9
Investment Advisory/Research 7
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 7
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2,198 $501.3M
Non-Discretionary 0 $0
Total 2,198 $501.3M

Clients

Type Number RAUM
Individuals 658 $222.1M
HNW Individuals 123 $228.5M
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 19 $48.7M
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 6 $2.0M
Other 0 $0
Type Number
No. of Non-RAUM Clients 2
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 251-500

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)Educational seminars/workshops401K PARTICIPANT ADVICE
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-70490
SEC ERA File Number 801-70490
SEC CIK Numbers 1744318
SEC CRD Numbers 151237
Legal Entity Identifier None

Principal Office

21 CONGRESS STREET
SUITE 203
SARATOGA SPRINGS
NY
United States
Monday - Friday, 8:30AM - 4:30PM
Tel: (518) 499-4565, Fax: 518-430-0090

Websites

www.minichmacgregor.com www.401kadvicecenter.com www.mmwealth.com www.jasonmacgregor.com

Chief Compliance Officer

MICHELE TELLSTONE
PROJECT MANAGER
21 CONGRESS STREET
SUITE 203
SARATOGA SPRINGS
NY
United States
Tel: (518) 499-4565
Fax: 518-430-0090
(Full email address available in API data)

Regulatory Contact

JASON MACGREGOR
MANAGING MEMBER
21 CONGRESS STREET
SUITE 203
SARATOGA SPRINGS
NY
United States
Tel: (518) 499-4565
Fax: 518-430-0090
(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
MINICH, JAMES, FRANKLIN Individual – MANAGING MEMBER 09/2009 50-75%
MACGREGOR, JASON, KEITH Individual – MANAGING MEMBER 09/2009 50-75%
TELLSTONE, MICHELE, ANNE Individual – CHIEF COMPLIANCE OFFICER 01/2016 < 5%

No. Employees, Historic

105020192020202120222023202420257 on 4/23/20197 on 3/3/20207 on 3/9/20207 on 6/9/20207 on 6/10/20207 on 7/15/20208 on 2/16/20218 on 7/1/20218 on 10/20/20218 on 12/2/20218 on 1/3/20228 on 3/11/20228 on 6/1/20228 on 11/9/20228 on 11/16/20228 on 11/17/20229 on 2/18/20239 on 5/16/20239 on 10/12/20239 on 1/30/2024

RAUM, Historic

600M300M02019202020212022202320242025247932125 on 4/23/2019287639069 on 3/3/2020287639069 on 3/9/2020287639069 on 6/9/2020287639069 on 6/10/2020287639069 on 7/15/2020351624418 on 2/16/2021351624418 on 7/1/2021351624418 on 10/20/2021351624418 on 12/2/2021351624418 on 1/3/2022449456450 on 3/11/2022449456450 on 6/1/2022449456450 on 11/9/2022449456450 on 11/16/2022449456450 on 11/17/2022406048101 on 2/18/2023406048101 on 5/16/2023406048101 on 10/12/2023501300482 on 1/30/2024

No. Clients, Historic

90045002019202020212022202320242025619 on 4/23/2019653 on 3/3/2020653 on 3/9/2020653 on 6/9/2020653 on 6/10/2020653 on 7/15/2020689 on 2/16/2021689 on 7/1/2021689 on 10/20/2021689 on 12/2/2021689 on 1/3/2022744 on 3/11/2022744 on 6/1/2022744 on 11/9/2022744 on 11/16/2022744 on 11/17/2022773 on 2/18/2023773 on 5/16/2023773 on 10/12/2023806 on 1/30/2024

Holdings

From latest 13F, filed July 25th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBVIE INC COM 292K 2K –
ADAMS DIVERSIFIED EQUITY FD COM 416K 134K –
ADVANCED MICRO DEVICES INC COM 451K 3K –
ALPHABET INC CAP STK CL A 562K 3K –
AMAZON COM INC COM 2M 9K –
APPLE INC COM 3M 14K –
AT&T INC COM 194K 10K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 238K 585 –
BOSTON SCIENTIFIC CORP COM 428K 6K –
CADENCE DESIGN SYSTEM INC COM 8M 25K –
CATERPILLAR INC COM 399K 1K –
CGI INC CL A SUB VTG 897K 9K –
CHEVRON CORP NEW COM 503K 3K –
CLEAN HARBORS INC COM 8M 34K –
COSTCO WHSL CORP NEW COM 314K 369 –
CROWDSTRIKE HLDGS INC CL A 8M 20K –
DESCARTES SYS GROUP INC COM 8M 80K –
ELI LILLY & CO COM 619K 684 –
EMERSON ELEC CO COM 214K 2K –
EXXON MOBIL CORP COM 679K 6K –
FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 654K 11K –
FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 676K 10K –
FIRST TR EXCHANGE-TRADED FD SMID RISNG ETF 1M 42K –
FIRST TR EXCHANGE-TRADED FD NASDQ SEMCNDTR 805K 8K –
FIRST TR EXCHANGE-TRADED FD WTR ETF 293K 3K –
FIRST TR EXCHANGE-TRADED FD DORSEY WRT 5 ETF 15M 254K –
FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 714K 3K –
FIRST TR EXCHNG TRADED FD VI FT VEST U.S. 6M 160K –
FIRST TR EXCHNG TRADED FD VI FT VEST U.S. 2M 55K –
FIRST TR NASDAQ 100 TECH IND SHS 5M 26K –
FREEPORT-MCMORAN INC CL B 551K 11K –
FUELCELL ENERGY INC COM 13K 20K –
GARTNER INC COM 283K 630 –
GE AEROSPACE COM NEW 1M 9K –
GE HEALTHCARE TECHNOLOGIES I COMMON STOCK 264K 3K –
GE VERNOVA INC COM 333K 2K –
HEICO CORP NEW COM 8M 35K –
INVESCO EXCHANGE TRADED FD T WATER RES ETF 350K 5K –
INVESCO EXCHANGE TRADED FD T BUILDING & CONST 359K 5K –
INVESCO EXCHANGE TRADED FD T NASDAQ INTERNT 347K 8K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 475K 3K –
INVESCO EXCHANGE TRADED FD T AEROSPACE DEFN 357K 3K –
INVESCO EXCHANGE TRADED FD T SEMICONDUCTORS 417K 7K –
INVESCO EXCHANGE TRADED FD T S&P 500 TOP 50 315K 7K –
INVESCO EXCHANGE TRADED FD T S&P MDCP MOMNTUM 9M 81K –
INVESCO EXCHANGE TRADED FD T DORSEY WRGT TECH 373K 6K –
INVESCO QQQ TR UNIT SER 1 1M 3K –
IRON MTN INC DEL COM 8M 87K –
ISHARES SILVER TR ISHARES 6M 221K –
ISHARES TR US INDUSTRIALS 8M 67K –
ISHARES TR 1 3 YR TREAS BD 4M 46K –
ISHARES TR IBDS DEC28 ETF 5M 213K –
ISHARES TR US HOME CONS ETF 18M 177K –
ISHARES TR US AER DEF ETF 10M 78K –
ISHARES TR MSCI USA MMENTM 314K 2K –
ISHARES TR U.S. INSRNCE ETF 11M 93K –
ISHARES TR IBONDS DEC24 ETF 8M 300K –
ISHARES TR ISHARES SEMICDTR 12M 47K –
ISHARES TR SHORT TREAS BD 8M 77K –
ISHARES TR CORE S&P500 ETF 9M 16K –
ISHARES TR EXPANDED TECH 10M 115K –
ISHARES U S ETF TR IT RT HDG HGYL 13M 148K –
JOHNSON & JOHNSON COM 221K 2K –
JPMORGAN CHASE & CO. COM 948K 5K –
KLA CORP COM NEW 8M 10K –
LAM RESEARCH CORP COM 8M 7K –
LANTHEUS HLDGS INC COM 8M 95K –
LOCKHEED MARTIN CORP COM 3M 5K –
MARRIOTT INTL INC NEW CL A 8M 32K –
MARSH & MCLENNAN COS INC COM 8M 37K –
MERCK & CO INC COM 357K 3K –
META PLATFORMS INC CL A 391K 775 –
MICROSOFT CORP COM 3M 8K –
NETFLIX INC COM 205K 304 –
NVIDIA CORPORATION COM 11M 87K –
PIMCO ETF TR ENHAN SHRT MA AC 3M 33K –
PIMCO ETF TR MULTISECTOR BD 13M 497K –
PLUG POWER INC COM NEW 63K 27K –
PROCTER AND GAMBLE CO COM 234K 1K –
SCHWAB STRATEGIC TR US LRG CAP ETF 6M 99K –
SCHWAB STRATEGIC TR US LCAP GR ETF 24M 240K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 211K 1K –
SPDR GOLD TR GOLD SHS 3M 13K –
SPDR INDEX SHS FDS EURO STOXX 50 12M 247K –
SPDR S&P 500 ETF TR TR UNIT 10M 19K –
SPDR SER TR S&P BIOTECH 3M 31K –
TESLA INC COM 796K 4K –
THERMO FISHER SCIENTIFIC INC COM 233K 421 –
TRACTOR SUPPLY CO COM 8M 30K –
TRANSOCEAN LTD REGISTERED SHS 321K 60K –
UNITEDHEALTH GROUP INC COM 534K 1K –
VANECK ETF TRUST MRNGSTR WDE MOAT 24M 274K –
VANGUARD INDEX FDS TOTAL STK MKT 304K 1K –
VANGUARD INDEX FDS GROWTH ETF 238K 636 –
VANGUARD WHITEHALL FDS HIGH DIV YLD 257K 2K –
VANGUARD WORLD FD HEALTH CAR ETF 524K 2K –
VANGUARD WORLD FD INDUSTRIAL ETF 11M 49K –
VANGUARD WORLD FD INF TECH ETF 317K 550 –
VERISK ANALYTICS INC COM 888K 3K –
VISA INC COM CL A 299K 1K –
WALMART INC COM 428K 6K –
WASTE MGMT INC DEL COM 209K 981 –
WELLS FARGO CO NEW COM 248K 4K –