{"url":"https://nivawealth.com/firms/marks-wealth-310534","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/310534","regulatoryAum":409204249,"crd":"310534","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7859030","suffix":null,"lastName":"Devine","firstName":"Finnian","middleName":"P"},{"crd":"8220653","suffix":null,"lastName":"Gloekler","firstName":"Richard","middleName":null},{"crd":"6620068","suffix":null,"lastName":"JACKSON","firstName":"CATHERINE","middleName":"CAVALIER"},{"crd":"5784332","suffix":null,"lastName":"MARKS","firstName":"CHARLES","middleName":null}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-07-21","regulatoryAum":320000000,"clients":216,"employees":3,"offices":1},{"filedOn":"2022-07-15","regulatoryAum":350000000,"clients":768,"employees":3,"offices":1},{"filedOn":"2023-06-26","regulatoryAum":344159661,"clients":252,"employees":3,"offices":1},{"filedOn":"2024-05-21","regulatoryAum":382694532,"clients":274,"employees":7,"offices":1},{"filedOn":"2025-04-03","regulatoryAum":382988422,"clients":276,"employees":5,"offices":1},{"filedOn":"2026-08-20","regulatoryAum":409204249,"clients":283,"employees":5,"offices":1}],"secFileNumber":"801-119442","legalName":"Marks Wealth, LLC","displayName":"Marks Wealth","slug":"marks-wealth-310534","website":"https://markswealth.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"11690 Frederick RD","city":"Ellicott City","state":"MD","stateName":"Maryland","country":"United States","postalCode":"21042"},"tradeNames":["Marks Wealth Management"],"registration":{"secApproved":"17 September 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1445951.4098939928,"staff":{"employees":5,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":409204249,"discretionary":409204249,"discretionaryAccounts":881,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":151,"regulatoryAum":107651762},{"label":"High-net-worth individuals","clients":132,"regulatoryAum":301552487}],"feePrograms":[{"role":"main","program":"Investment Management Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012407","versionId":1012407,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-02-26","documentName":"ADV PART 2A - MARKS WEALTH MANAGEMENT","fee_rate_low":0.75,"fee_rate_high":2.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T10:55:11.606215+00:00","documents":[{"name":"ADV PART 2A - MARKS WEALTH MANAGEMENT","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012407","versionId":1012407,"submittedOn":"2026-02-26"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":407133020}],"custodyNote":"Marks Wealth does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Charles Marks","title":"CEO / Managing Director / Chief Compliance Officer","crd":"5784332"}],"ownership":[{"label":"Charles Marks","detail":"Ceo / managing director / chief compliance officer in the 75% or more ownership band and a control person, since September 2020."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Maryland","offices":1,"addresses":[{"street":"11690 Frederick RD","city":"Ellicott City","headquarters":true}]}],"brochureServices":["education planning","estate planning","insurance","philanthropic planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"410-934-1199","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":4},{"label":"U.S. government/agency bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":69},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":24}],"privateFunds":0},"sources":{"adv1FilingDate":"20 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/310534/PDF/310534.pdf","brochureDate":"26 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012407","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Marks Wealth have?","answer":"Marks Wealth has 283 clients and manages $409 million for them, as of August 2026. They include 151 individual clients and 132 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 20 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Marks Wealth offer?","answer":"Marks Wealth provides financial planning, portfolio management for individuals and small businesses, education planning, estate planning, insurance, philanthropic planning, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Marks Wealth charge?","answer":"Marks Wealth charges 0.75%–2.50% a year for its Investment Management Services. The fee is billed in arrears and is negotiable.","source":"ADV PART 2A - MARKS WEALTH MANAGEMENT, filed 26 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Marks Wealth use?","answer":"Marks Wealth’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $407M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 20 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Marks Wealth have?","answer":"Marks Wealth has 4 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Marks Wealth invest in?","answer":"At the end of its last fiscal year, Marks Wealth’s separately managed accounts held 69% registered funds (mutual funds, ETFs, BDCs), 24% cash and equivalents, 4% exchange-traded equities, 2% U.S. government and agency bonds and 1% pooled vehicles (private funds and similar).","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Marks Wealth?","answer":"Marks Wealth’s direct owner is Charles Marks (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 20 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Marks Wealth get paid?","answer":"Marks Wealth is paid through a percentage of assets under management. 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Marks Wealth?","answer":"Marks Wealth’s main office is at 11690 Frederick RD, Ellicott City, MD 21042. Its phone number is 410-934-1199. Its website is markswealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 20 August 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/marks-wealth-310534/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-29","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1838660/000208585326000902/0002085853-26-000902-index.html","totalValue":461941847,"positionCount":19,"top10Share":0.9921862047713551,"top10":[{"issuer":"ISHARES TR","titleOfClass":"MSCI USA VALUE","cusip":"46432F388","value":108187976,"shares":541454,"shareType":"SH","priorValue":43372927,"priorShares":305035},{"issuer":"ISHARES TR","titleOfClass":"TRUST ISHARE 0-1","cusip":"464288679","value":83495762,"shares":756645,"shareType":"SH","priorValue":238241639,"priorShares":2158181},{"issuer":"VANGUARD WORLD FD","titleOfClass":"INF TECH ETF","cusip":"92204A702","value":56158623,"shares":469868,"shareType":"SH"},{"issuer":"VANGUARD SCOTTSDALE FDS","titleOfClass":"SHRT TRM CORP BD","cusip":"92206C409","value":44971373,"shares":569042,"shareType":"SH","priorValue":43390489,"priorShares":547376},{"issuer":"INVESCO EXCH TRADED FD TR II","titleOfClass":"S&P 500 MOMNTM","cusip":"46138E339","value":38661691,"shares":239332,"shareType":"SH"},{"issuer":"ISHARES TR","titleOfClass":"ISHARES SEMICDTR","cusip":"464287523","value":31317786,"shares":48876,"shareType":"SH"},{"issuer":"INVESCO EXCH TRADED FD TR II","titleOfClass":"KBW BK ETF","cusip":"46138E628","value":31286003,"shares":336481,"shareType":"SH"},{"issuer":"VANGUARD WORLD FD","titleOfClass":"INDUSTRIAL ETF","cusip":"92204A603","value":29804868,"shares":82704,"shareType":"SH"},{"issuer":"FIRST TR EXCHANGE-TRADED FD","titleOfClass":"NASDAQ CYB ETF","cusip":"33734X846","value":20118583,"shares":223913,"shareType":"SH"},{"issuer":"ISHARES INC","titleOfClass":"CORE MSCI EMKT","cusip":"46434G103","value":14329663,"shares":172980,"shareType":"SH"}],"positionsListed":19,"positions":[{"issuer":"ISHARES TR","titleOfClass":"MSCI USA VALUE","cusip":"46432F388","value":108187976,"shares":541454,"shareType":"SH","priorValue":43372927,"priorShares":305035},{"issuer":"ISHARES TR","titleOfClass":"TRUST ISHARE 0-1","cusip":"464288679","value":83495762,"shares":756645,"shareType":"SH","priorValue":238241639,"priorShares":2158181},{"issuer":"VANGUARD WORLD FD","titleOfClass":"INF TECH ETF","cusip":"92204A702","value":56158623,"shares":469868,"shareType":"SH"},{"issuer":"VANGUARD SCOTTSDALE FDS","titleOfClass":"SHRT TRM CORP BD","cusip":"92206C409","value":44971373,"shares":569042,"shareType":"SH","priorValue":43390489,"priorShares":547376},{"issuer":"INVESCO EXCH TRADED FD TR II","titleOfClass":"S&P 500 MOMNTM","cusip":"46138E339","value":38661691,"shares":239332,"shareType":"SH"},{"issuer":"ISHARES TR","titleOfClass":"ISHARES SEMICDTR","cusip":"464287523","value":31317786,"shares":48876,"shareType":"SH"},{"issuer":"INVESCO EXCH TRADED FD TR II","titleOfClass":"KBW BK ETF","cusip":"46138E628","value":31286003,"shares":336481,"shareType":"SH"},{"issuer":"VANGUARD WORLD FD","titleOfClass":"INDUSTRIAL ETF","cusip":"92204A603","value":29804868,"shares":82704,"shareType":"SH"},{"issuer":"FIRST TR EXCHANGE-TRADED FD","titleOfClass":"NASDAQ CYB ETF","cusip":"33734X846","value":20118583,"shares":223913,"shareType":"SH"},{"issuer":"ISHARES INC","titleOfClass":"CORE MSCI EMKT","cusip":"46434G103","value":14329663,"shares":172980,"shareType":"SH"},{"issuer":"J P MORGAN EXCHANGE TRADED F","titleOfClass":"NASDAQ EQT PREM","cusip":"46654Q203","value":1331880,"shares":21671,"shareType":"SH","priorValue":1486403,"priorShares":26772},{"issuer":"SELECT SECTOR SPDR TR","titleOfClass":"ST STR TECHN ETF","cusip":"81369Y803","value":533837,"shares":2802,"shareType":"SH"},{"issuer":"MARRIOTT INTL INC NEW","titleOfClass":"CL A","cusip":"571903202","value":303143,"shares":818,"shareType":"SH","priorValue":267543,"priorShares":818},{"issuer":"BECTON DICKINSON & CO","titleOfClass":"COM","cusip":"075887109","value":261776,"shares":1730,"shareType":"SH","priorValue":271590,"priorShares":1727},{"issuer":"VANGUARD INSTL INDEX FD","titleOfClass":"0 3 MO TR BI ETF","cusip":"922040845","value":249895,"shares":3302,"shareType":"SH"},{"issuer":"GE VERNOVA INC","titleOfClass":"COM","cusip":"36828A101","value":248053,"shares":211,"shareType":"SH"},{"issuer":"BOEING CO","titleOfClass":"COM","cusip":"097023105","value":245477,"shares":1134,"shareType":"SH","priorValue":243016,"priorShares":1221},{"issuer":"AMAZON COM INC","titleOfClass":"COM","cusip":"023135106","value":233573,"shares":980,"shareType":"SH","priorValue":204105,"priorShares":980},{"issuer":"UNITED PARCEL SVCS INC","titleOfClass":"CL B","cusip":"911312106","value":201885,"shares":1878,"shareType":"SH"}]},"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}