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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 Business Owners, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 12,787 clients with $30B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
295 advisors
Number of Clients
12,787 clients
Average Client Portfolio
$2.3M average
Assets Under Management
$29.6B
Fee Structure
Minimum Investment:$500K
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $5.0M | 1.00% |
| $5.0M - $10.0M | 0.90% |
| $10M+ | 0.80% |
MAI negotiates fees at its discretion, resulting in clients under different fee schedules.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
9435 Waterstone Blvd, Suite 120, Cincinnati, OH, 45249
Get directionsHistory
Regulatory History (2)
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Regulatory
January 1991Final
Customer Dispute
February 1985Settled
Employment History
Current Registrations
Mai Capital Management, LLC
February 2024 - Present · 2 yrs 3 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.