{"url":"https://nivawealth.com/firms/mns-financial-management-116604","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/116604","regulatoryAum":489223767,"crd":"116604","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7806065","suffix":"Jr","lastName":"Gillard","firstName":"Arnold","middleName":"Robert"},{"crd":"5850668","suffix":null,"lastName":"HENDERSON","firstName":"MARCUS","middleName":"CORBIN"},{"crd":"3195431","suffix":null,"lastName":"KRICHBAUM","firstName":"RICHARD","middleName":"EARL"},{"crd":"4281534","suffix":null,"lastName":"O'CONNELL","firstName":"BRIAN","middleName":"P"},{"crd":"4603411","suffix":null,"lastName":"SANDS","firstName":"SUSAN","middleName":"KIM"},{"crd":"4985041","suffix":null,"lastName":"WHITLEY","firstName":"TREVOR","middleName":"RUSKIN"}],"total":6,"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":"2021-04-19","regulatoryAum":295844903,"clients":227,"employees":8,"offices":1},{"filedOn":"2022-04-08","regulatoryAum":348851349,"clients":232,"employees":8,"offices":1},{"filedOn":"2023-03-22","regulatoryAum":326493216,"clients":210,"employees":9,"offices":1},{"filedOn":"2024-03-27","regulatoryAum":361075603,"clients":306,"employees":9,"offices":1},{"filedOn":"2025-03-25","regulatoryAum":431462723,"clients":323,"employees":9,"offices":1},{"filedOn":"2026-04-24","regulatoryAum":489223767,"clients":321,"employees":9,"offices":1}],"secFileNumber":"801-60851","legalName":"MNS Financial  Management, L.L.C.","displayName":"MNS Financial  Management","slug":"mns-financial-management-116604","website":"https://marquiswealthgroup.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"1999","organization":"Florida limited liability company","fiscalYearEnd":"December","headquarters":{"street":"6208 Whiskey Creek Drive","city":"Fort Myers","state":"FL","stateName":"Florida","country":"United States","postalCode":"33919"},"tradeNames":["Marquis Wealth Management Group","The Marquis Wealth Management Group"],"registration":{"secApproved":"15 January 2002","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1545041.6744186047,"staff":{"employees":9,"advisory":6,"brokerDealerReps":0,"insuranceAgents":5,"promoters":0},"aum":{"regulatory":489223767,"discretionary":82620302,"discretionaryAccounts":120,"nonDiscretionary":406603465,"nonDiscretionaryAccounts":835,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":7},"clientTypes":[{"label":"Individuals (other than HNW)","clients":198,"regulatoryAum":78436574},{"label":"High-net-worth individuals","clients":103,"regulatoryAum":386620970},{"label":"Pension and profit-sharing plans","clients":8,"regulatoryAum":21561028},{"label":"Charitable organizations","clients":12,"regulatoryAum":2605195}],"feePrograms":[{"role":"main","program":"Investment Advisory Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1042479","versionId":1042479,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-04-23","documentName":"ADV PART 2A","fee_rate_low":0.9,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning and Consulting (Stand-Alone)","summary":"Stand-alone financial planning and consulting is negotiable and billed hourly at $150 to $400 for professional time and $90 to $180 for administrative time.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1042479","versionId":1042479,"submittedOn":"2026-04-23","documentName":"ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T08:39:03.351671+00:00","documents":[{"name":"ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1042479","versionId":1042479,"submittedOn":"2026-04-23"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":385514903},{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":78863153}],"custodyNote":"MNS Financial  Management has custody of $126M for 163 clients.","otherCustodians":[],"leadership":[{"name":"Richard Krichbaum","title":"President/Managing Member/Chief Compliance Officer","crd":"3195431"},{"name":"Brian O'Connell","title":"Member","crd":"4281534"},{"name":"Susan Sands","title":"Secretary","crd":"4603411"},{"name":"Trevor Whitley","title":"Member","crd":"4985041"}],"ownership":[{"label":"Brian O'Connell","detail":"Member in the 25% to 50% ownership band and a control person, since January 2021."},{"label":"Richard Krichbaum","detail":"President/managing member/chief compliance officer in the 10% to 25% ownership band and a control person, since January 2021."},{"label":"Trevor Whitley","detail":"Member in the 25% to 50% ownership band and a control person, since January 2021."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"6208 Whiskey Creek Drive","city":"Fort Myers","headquarters":true}]}],"brochureServices":["estate planning","insurance","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"239-454-1117","stateRegisteredReps":6,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":15},{"label":"Investment grade corporate bonds","percent":12},{"label":"Securities issued by registered investment companies or business development companies","percent":61},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":5},{"label":"Cash and cash equivalents","percent":7}],"privateFunds":0},"sources":{"adv1FilingDate":"24 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/116604/PDF/116604.pdf","brochureDate":"23 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1042479","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 MNS Financial  Management have?","answer":"MNS Financial  Management has 321 clients and manages $489 million for them, as of April 2026. They include 198 individual clients, 103 high-net-worth individuals and 12 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does MNS Financial  Management offer?","answer":"MNS Financial  Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, selecting other managers, estate planning, insurance, 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 MNS Financial  Management charge?","answer":"MNS Financial  Management charges 0.90%–1.50% a year for its Investment Advisory Services. The fee is billed in advance and is negotiable.","source":"ADV PART 2A, filed 23 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does MNS Financial  Management use?","answer":"MNS Financial  Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $386M and National Financial Services LLC (Boston, MA), with $78.9M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does MNS Financial  Management have?","answer":"MNS Financial  Management has 6 investment adviser representatives registered with state securities authorities, out of 9 employees, and 6 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 5 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does MNS Financial  Management invest in?","answer":"At the end of its last fiscal year, MNS Financial  Management’s separately managed accounts held 61% registered funds (mutual funds, ETFs, BDCs), 15% exchange-traded equities, 12% investment grade corporate bonds, 7% cash and equivalents and 5% 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 MNS Financial  Management?","answer":"MNS Financial  Management’s direct owners are Brian O'Connell, Richard Krichbaum and Trevor Whitley, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 24 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does MNS Financial  Management get paid?","answer":"MNS Financial  Management is paid through a percentage of assets under management, hourly charges 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact MNS Financial  Management?","answer":"MNS Financial  Management’s main office is at 6208 Whiskey Creek Drive, Fort Myers, FL 33919. Its phone number is 239-454-1117. Its website is marquiswealthgroup.com.","source":"Form ADV Part 1A, Item 1.F, filed 24 April 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"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."}