MR
MR
Mark Roberts
33 Years of Experience
Cincinnati, OH
2 Disclosures
Mark Roberts is a registered investment advisor at Mai Capital Management, LLC, based in Cincinnati, OH, with 33 years of industry experience. Mark operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Athletes & Entertainers, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 16,261 clients with $52B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
309 advisors
Number of Clients
16,261 clients
Average Client Portfolio
$3.2M average
Assets Under Management
$52.1B
Fee Structure
Minimum Investment:$500K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $5.0M | 1.00% |
| $5.0M - $10.0M | 0.90% |
| $10M+ | 0.80% |
Fees are negotiable at MAI Capital Management's discretion.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
Loading...
Location
9435 Waterstone Blvd, Suite 120, Cincinnati, OH, 45249
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
January 1991Final
Customer Dispute
February 1985Settled
Employment History
Current Registrations
Mai Capital Management, LLC
February 2024 - Present · 2 yrs 8 mos
Previous Registrations
Waterstone Investment Counsel, LLC
July 2006 - March 2024 · 17 yrs 8 mos
Dean Witter Reynolds INC.Broker
December 1987 - May 1996 · 8 yrs 5 mos
Prudential-Bache Securities INC.Broker
August 1985 - November 1987 · 2 yrs 3 mos
Prudential-Bache Securities INC.Broker
August 1985 - August 1985 · 0 mos
E. F. Hutton & Company INCBroker
March 1984 - August 1985 · 1 yr 5 mos
Marion Bass Securities CorporationBroker
November 1982 - February 1984 · 1 yr 3 mos
First Investors CorporationBroker
November 1982 - January 1983 · 2 mos
State Registrations3 states
INKYOH
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
More Advisors
- Joseph Hack, CFPMai Capital Management, LLC
- Donna Sterwerf, CFPMai Capital Management, LLC
- Jacob Oney, CFAMai Capital Management, LLC
- William Bruns, CFPMai Capital Management, LLC
- Neil Hantak, CFAMai Capital Management, LLC
- David Niehaus, CFAMai Capital Management, LLC