MORTGAGE INDUSTRY ADVISORY COMPANY
MORTGAGE INDUSTRY ADVISORY CORPORATION Legal Name
Adviser information for MORTGAGE INDUSTRY ADVISORY COMPANY last updated from Form ADV on March 27th, 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 | Other (specify) |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Minnesota, United States |
Employees
| Total Number of Employees | 75 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 0 | $0 |
| Non-Discretionary | 20 | $863.6M |
| Total | 20 | $863.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 11 | $78.6M |
| 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 | <5 | $120.4M |
| 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 | 8 | $664.7M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | MORTGAGE PIPELINE HEDGE ADVISORY SERVICES |
|---|---|
| Compensation | Fixed feesFEES BASED ON MORTGAGE LOAN SALES |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-72239 |
|---|---|
| SEC ERA File Number | 801-72239 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 122337 |
| Legal Entity Identifier | None |
Principal Office
521 5TH AVENUE6TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM - 6PM
Tel: 212-233-1250, Fax: 212-233-2265
Websites
Chief Compliance Officer
MARILYN MILLINGTON
521 5TH AVENUE
6TH FLOOR
NEW YORK
NY
United States
Tel:
212-233-1250
Fax:
212-233-2265
M*****************@****************M
(Full email address available in API data)
Regulatory Contact
TINA FREEMAN
MANAGING DIRECTOR
521 FIFTH AVENUE
NEW YORK
NY
United States
Tel:
212-233-1250
Fax:
212-233-2265
T***********@****************M
(Full email address available in API data)
Industry Affiliates
| MIAC CAPITAL MARKETS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HUSTED, ROBERT, NATHANIEL | Individual | – | PRINCIPAL | 11/1989 | 50-75% |
| VANVALKENBURG, PAUL, THOMAS | Individual | – | PRINCIPAL | 11/1989 | 50-75% |
| FRIEDMAN, RUTH | Individual | – | CHIEF FINANCIAL OFFICER | 09/2009 | < 5% |
| MILLINGTON, MARILYN, DEGENNARO | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2022 | < 5% |