MBR FINANCIAL
MARGOLIS BRADY RAGHAVAN FINANCIAL, INC. Legal Name
Adviser information for MBR FINANCIAL last updated from Form ADV on March 15th, 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 | 10 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 953 | $616.2M |
| Non-Discretionary | 404 | $168.1M |
| Total | 1,357 | $784.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 240 | $83.7M |
| HNW Individuals | 200 | $700.6M |
| 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 | 0 | $0 |
| 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 businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-78364 |
|---|---|
| SEC ERA File Number | 801-78364 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 168333 |
| Legal Entity Identifier | None |
Principal Office
2000 WEST LOOP SOUTHSUITE 1510
HOUSTON
TX
United States
Monday - Friday, 8 TO 5
Tel: 832-667-8787, Fax: 281-974-2108
Websites
Chief Compliance Officer
SURESH RAGHAVAN, CFA
PRINCIPAL
2000 WEST LOOP SOUTH
SUITE 1510
HOUSTON
TX
United States
Tel:
832-667-8787
Fax:
281-974-2108
S*****@***************M
(Full email address available in API data)
Regulatory Contact
NIHITA BHAVSAR
DIRECTOR OF BILLING & ACCOUNTING
2000 WEST LOOP SOUTH
SUITE 1510
HOUSTON
TX
United States
Tel:
832-667-8787
Fax:
281-974-2108
N*****@***************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 |
|---|---|---|---|---|---|
| RAGHAVAN, SURESH | Individual | – | PRINCIPAL, CHIEF COMPLIANCE OFFICER | 09/2011 | 25-50% |
| MARGOLIS, MARY, KATHRYN | Individual | – | PRINCIPAL | 09/2011 | 25-50% |
| BRADY, ALFRED, BERNARD | Individual | – | PRINCIPAL | 09/2011 | 25-50% |
| BENDER, DANIEL, JAMES | Individual | – | PRINCIPAL | 01/2015 | 25-50% |