MALLARD FINANCIAL PARTNERS INC
Adviser information for MALLARD FINANCIAL PARTNERS INC last updated from Form ADV on July 6th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 13 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 9 |
| 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 | 626 | $187.5M |
| Non-Discretionary | 0 | $0 |
| Total | 626 | $187.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 180 | $60.0M |
| HNW Individuals | 51 | $123.0M |
| 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 | 10 | $4.6M |
| 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 | 4 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-78580 |
|---|---|
| SEC ERA File Number | 801-78580 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 169009 |
| Legal Entity Identifier | None |
Principal Office
750 BARKSDALE ROADSUITE 3
NEWARK
DE
United States
Monday - Friday, 9:00 AM TO 5:00PM
Tel: 302-737-4546, Fax: 302-737-4546
Chief Compliance Officer
JOSEPH DAIGLE
CEO
750 BARKSDALE ROAD
SUITE 3
NEWARK
DE
United States
Tel:
302-737-4546
Fax:
3027374546
J**@*******************M
(Full email address available in API data)
Regulatory Contact
PAUL BAUMBACH
CHIEF INVESTMENT OFFICER
750 BARKSDALE ROAD
NEWARK
DE
United States
Tel:
302-737-4546
P***@*******************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 |
|---|---|---|---|---|---|
| BAUMBACH, PAUL, S. | Individual | – | PRESIDENT | 01/2021 | < 5% |
| BAUMBACH, PAMELA, S. | Individual | – | TREASURER | 01/2021 | < 5% |
| LEHNERD, SUSAN, ELIZABETH | Individual | – | VICE-PRESIDENT | 01/2021 | < 5% |
| Thompson, Jacqie, Sue | Individual | – | SECRETARY | 01/2021 | < 5% |
| DAIGLE, JOSEPH, LEONARD | Individual | – | CHIEF EXECUTIVE OFFICER & CCO | 06/2023 | < 5% |
| MERCER GLOBAL ADVISORS INC. | Domestic Entity | – | PARENT COMPANY | 06/2023 | > 75% |