Mach-1 Financial Group provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions. Financial planning was provided to 251–500 clients last fiscal year.
Mach-1 Financial Group reports 1,566 clients. They include 1,405 individual clients and 161 high-net-worth individuals. Of its assets, 100.0% ($546M across 3,255 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $546M.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 90% | 55% |
| High-net-worth individuals | 10% | 44% |
| Pension and profit-sharing plans | Fewer than 5 | <1% |
| Corporations and other businesses | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 1,405 | $301M | 55.1% | $214K |
| High-net-worth individuals | 161 | $242M | 44.2% | $1.5M |
| Pension and profit-sharing plans | Fewer than 5 | $2.11M | 0.4% | — |
| Corporations and other businesses | Fewer than 5 | $1.88M | 0.3% | — |
| Total | 1,566 | $546M | 100% | — |
- Clients
- 1,405
- Regulatory AUM
- $301M
- AUM share
- 55.1%
- Avg. per client
- $214K
- Clients
- 161
- Regulatory AUM
- $242M
- AUM share
- 44.2%
- Avg. per client
- $1.5M
- Clients
- Fewer than 5
- Regulatory AUM
- $2.11M
- AUM share
- 0.4%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $1.88M
- AUM share
- 0.3%
- Avg. per client
- —
Total
- Clients
- 1,566
- Regulatory AUM
- $546M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 251–500
Mach-1 Financial Group charges up to 1.85% a year for its Wrap Fee Program. The fee is billed in advance or in arrears and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Estate planning access
- Estate planning services through the Wealth platform carry a fee of up to $10,000, negotiable and payable as the estate planning agreement sets out.
Mach-1 Holdings, Inc. owns 25% to 50% of Mach-1 Financial Group and is in turn owned by David Lee (75% or more). The leadership team of Mach-1 Financial Group includes President James Mackey and Chief Compliance Officer James Leas. It has 20 employees, 8 of them in advisory roles.
Leadership
- James MackeyPresident, COO & Owner
- James LeasChief Compliance Officer
- Tammy LawlerController
- David LeeFounder & Managing Partner
- Matthew WaltersCEO & Owner
Investment adviser representatives
9 representatives listed in the SEC register as of 9 October 2026.
- Elijah David Freeman
- Graham McDaniel Funderburk
- Isaac B Johnson
- David Aaron Lee
- James Lee Mackey
- William Martens
- John Edward Martfeld II
- Nicholas McKenney
- Matthew Jordan Walters
Staff
- 20 employees
- 8 in advisory functions
- 8 state-registered reps
- 1 broker-dealer rep
- 8 insurance agents
- Owns 25% to 50% of Mach-1 Financial Group, LLC
Mach-1 Holdings, Inc.
Control person · since September 2021
- Owns 75% or more of Mach-1 Holdings, Inc.
David Lee
Control person · since January 2021
- Owns 25% to 50% of Mach-1 Financial Group, LLC
Matthew Walters
Control person · since September 2021
- Owns 10% to 25% of Mach-1 Financial Group, LLC
James Mackey
since January 2023
Mach-1 Financial Group’s regulatory assets grew 2.9× from $189M (February 2021) to $546M (July 2026); clients rose from 726 to 1,566 and employees from 10 to 20.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| July 2026 | $546M | 1,566 | 20 | 1 |
| July 2025 | $417M | 1,293 | 20 | 1 |
| June 2024 | $354M | 1,240 | 19 | 1 |
| May 2023 | $271M | 1,031 | 16 | 1 |
| May 2022 | $273M | 877 | 13 | 2 |
| February 2021 | $189M | 726 | 10 | 1 |
Besides its headquarters, Mach-1 Financial Group has 0 offices, with 1 listed address in Arkansas.
Arkansas · 1 listed address
- 1001 S. 52nd Street, Suite 100, RogersHQ
Contact and registration details
- Legal name
- Mach-1 Financial Group, LLC
- Headquarters
- 1001 S. 52nd Street, Suite 100, Rogers, AR 72758
- Website
- mach-1financial.com
- Phone
- 479-876-2100
- @mach1financial
- SEC file
- 801-118093
- Structure
- Arkansas LLC
- Fiscal year end
- December
Mach-1 Financial Group uses Charles Schwab ($467M, 87%) and LPL Financial ($68.4M, 13%) as custodians for its separately managed accounts. Mach-1 Financial Group has custody of $398M in client assets for 1,656 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $467M87%
- LPL FinancialLPL Financial LLC · Fort Mill, SC · $68.4M13%
At year end, Mach-1 Financial Group’s separately managed accounts were largely in funds (49%) and stocks (45%). Its reported 13F holdings for the quarter ended 30 June 2026 total $258M across 131 positions; the largest are J P Morgan Exchange Traded F (11.2%), First TR Exchange-traded FD (7.2%) and Vanguard BD Index Fds (5.2%).
What the accounts hold
- Stocks45%
- Funds49%
- Bonds1%
- Cash5%
- Other1%
- Derivatives1%
Reported 13F holdings
- $258M
- Reported 13F value
- 131
- Positions
- 53.3%
- In the 10 largest
- −9.1%
- Value vs. prior quarter
- J P Morgan Exchange Traded F · Core Plus BD ETF11.2%
- First TR Exchange-traded FD · Growth Strength7.2%
- Vanguard BD Index Fds · Intermed Term5.2%
- Invesco Qqq TR · Unit Ser 15.1%
- American Centy ETF TR · US Large Cap Vlu5.0%
- First TR Exchange-traded FD · Core Investment4.4%
- First TR Exchange Traded FD · Risng Divd Achiv4.2%
- First TR Exchng Traded FD VI · Smit Unco BD ETF3.9%
- J P Morgan Exchange Traded F · Ultra Shrt ETF3.8%
- First TR Exchange-traded FD · Wcm Intl Equity3.3%
Together, the ten largest are 53.3% of reported value.
How many clients does Mach-1 Financial Group have?
Mach-1 Financial Group has 1,566 clients and manages $546 million for them, as of July 2026. They include 1,405 individual clients and 161 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 13 July 2026
What services does Mach-1 Financial Group offer?
Mach-1 Financial Group provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Mach-1 Financial Group charge?
Mach-1 Financial Group charges up to 1.85% a year for its Wrap Fee Program. The fee is billed in advance or in arrears and is negotiable.
Source: MACH-1 FINANCIAL ADV WRAP BROCHURE, filed 30 March 2026
Which custodians does Mach-1 Financial Group use?
Mach-1 Financial Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $467M and LPL Financial LLC (Fort Mill, SC), with $68.4M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 13 July 2026
How many financial advisors does Mach-1 Financial Group have?
Mach-1 Financial Group has 8 investment adviser representatives registered with state securities authorities, out of 20 employees, and 8 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 8 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Mach-1 Financial Group invest in?
At the end of its last fiscal year, Mach-1 Financial Group’s separately managed accounts held 49% registered funds (mutual funds, ETFs, BDCs), 45% exchange-traded equities, 5% cash and equivalents, 1% state and local bonds and 1% derivatives.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Mach-1 Financial Group?
Mach-1 Financial Group is owned through a holding company by David Lee. Its direct owners are Mach-1 Holdings, Inc., Matthew Walters and James Mackey, each holding 50% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 13 July 2026
How does Mach-1 Financial Group get paid?
Mach-1 Financial Group is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Mach-1 Financial Group?
Mach-1 Financial Group’s main office is at 1001 S. 52nd Street, Suite 100, Rogers, AR 72758. Its phone number is 479-876-2100. Its website is mach-1financial.com.