Mauldin Solutions, LLC (Dallas)

Name: Mauldin Solutions, LLC
Address: 2900 Mckinnon, # 1708, Dallas, TX, 75201
Telephone: 800-829-7273

Mauldin Solutions, LLC is an investment adviser to an investment company based in Dallas. It manages $82.2 million of regulatory assets for 17 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Mauldin Solutions provides portfolio management for investment companies and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Mauldin Solutions: assets under management

The assets under management (AUM) of Mauldin Solutions, LLC is $82.2 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 6% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $82.2 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $4.84 million each.

Investments

The firm invests in exchange traded securities the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Mauldin Solutions, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Mauldin Solutions serves?

The firm provides services to individuals, investment companies, and high net worth individuals. The largest group of clients of Mauldin Solutions is investment companies with 1 clients and $77.71 million of assets under management. Among the 2 most similar advisory firms, Mauldin Solutions has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $82.2 million for 17 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Mauldin Solutions doesn't advise any private funds.

Careers at Mauldin Solutions, LLC

The company employs 1 person that is either a part- or full-time employee. 100 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
John Francis Mauldin	President - cco	1 Sep 1999	75% - 100%	1945566

Based in Dallas

The principal office where Mauldin Solutions, LLC performs its advisory services is located at 2900 Mckinnon, # 1708, Dallas, TX 75201, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800-829-7273 or by fax 817-704-4515. The normal business hours are by appointment only on Monday - Friday. You can find more information about the New York firm at mauldinsolutions.com.