Thursday, October 22, 2026The Morning EditionOpen AtlasSign inJoin free
FinancialADVSR

Est. 2026The front page of wealth managementNew York

The Morning EditionFree · 6:30 AM ETSubscribe
RB An Amazon intern in 2020, Nevis CEO Mark Swan is the unlikely dream weaver for Focus Financial and other big RIA rollups with 'nightmare' integration issues -- with help from Schwab, Fidelity, OpenAI and AnthropicIN SpaceX’s AI segment now drives more than half its revenue. Here’s what advisors should watch nextFP Why AI might recommend your competitor instead of youFP Why clients are choosing phased retirement — and what advisors should know4K SPARK Forum Offering Scholarships for Retirement Plan AdvisorsFP What Schwab's new ETF platform fees mean for clients, advisorsWM RIA Platform Leaders Ask ‘What’s the Advantage in Having Your Own Form ADV?’IN Fake e-vite phishing scams put high-net-worth clients at riskRB Rick Wurster says Schwab is tackling its forced rationing of long/short SMAs with proprietary 'offering' to stretch balance sheet, but it may be more about a fee upside, a long/short manager saysIN Fintech bytes: 55ip, Vise, Syntax push tax-smart tools for RIAs

Asset manager

M Group

M Group Investment Advisor, LLC · SEC-registered investment adviser · CRD 160128 · SEC 801-119994

At a glance

M Group is an SEC-registered investment adviser based in United States, with $344 million in regulatory assets under management as of its Form ADV filed March 16, 2026. Its largest client group by assets is pension and profit sharing plans, and it reports 386 individual clients. By Form ADV it is a asset manager, ranked 1,861st of 3,218 asset managers and 9,494th of 17,210 SEC-registered advisers by assets.

LinkedInAs filed on Form ADV

Regulatory AUM
$344M
Rank among asset managers
#1,861 of 3,218
Rank among all SEC RIAs
#9,494 of 17,210
Individual clients
386
High-net-worth clients
95
Accounts
448
Discretionary
75% of AUM
Employees
2
Advisory staff
2
Offices
4

Owners and executives on its Form ADV

Custody and brokerage

3 custodians

  1. Charles Schwab$98M48%
  2. Ascensus Broker Dealer Services$97M48%
  3. Empower Financial Services$9M4%

Other RIAs using Charles SchwabOther multi-custodian RIAs

Broker-dealer

Hybrid RIA

M Group is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer.

Its Form ADV brochure (filed March 2026) names LPL Financial as the broker-dealer its advisers are registered with.

ng investment advice on behalf of our firm are registered representatives with LPL Financial, LLC (“LPL”), a securities broker-dealer, and a member of the Financial Industry Regulatory Authority and the Securities Investor Protection Corpo

Other hybrid RIAs

Who it serves

Client typeClientsRegulatory AUMShare
Pension and profit sharing plans62$246M72%
High-net-worth individuals95$55M16%
Individuals291$42M12%

Disciplinary disclosures

M Group reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗

Services

  • Portfolio management for individuals and small businesses
  • Portfolio management for businesses and institutions
  • Pension consulting
  • Selecting other advisers

How it’s paid

  • A percentage of assets under management
  • Hourly charges
  • Fixed fees

Form ADV and brochures on the SEC’s adviser search ↗

AtlasMembers

The full record on M Group

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff, 5 years of filings
Locked
Growth over one, three and five years
Locked
Rank against 949 peers of its type and size
Locked
Owners and executives, with titles and stakes
1 namedLocked
Main office, fax and compliance officer
Locked
Filing changes this year, with alerts
Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does M Group manage?

M Group reports $344 million in regulatory assets under management across 448 accounts, 75% of it on a discretionary basis, on its Form ADV filed March 16, 2026.

What kind of firm is M Group?

M Group is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.

Who are M Group’s clients?

By assets, its largest client types are pension and profit sharing plans ($246 million, 62 clients); high-net-worth individuals ($55 million, 95 clients); individuals ($42 million, 291 clients).

Does M Group have any disciplinary history?

M Group reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.

Where these numbers come from

Every figure is M Group’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-16), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.

Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →