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MF
MF

Mark Falter

Mid-American Wealth Advisory Group
28 Years of Experience
Kansas City, MO
5 DisclosuresSells Insurance
View SEC Summary
View SEC Summary

Mark Falter is a registered investment advisor at Mid-American Wealth Advisory Group, based in Kansas City, MO, with 28 years of industry experience. Mark operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 958 clients with $340M in assets under management.

Mid-American Wealth Advisory Group
Compensation
Fee-Only (% of Portfolio)
Firm Size
6 advisors
Number of Clients
958 clients
Average Client Portfolio
$350K average
Assets Under Management
$335.6M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K1.25%
$250K - $500K1.10%
$500K - $1.0M1.00%
$1.0M - $2.0M0.95%
$2.0M - $3.0M0.90%
$3.0M - $5.0M0.80%
$5M+0.70%

Fees are paid monthly in arrears based on the average daily balance of assets under management.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

7505 NW Tiffany Springs Parkway, 4th Floor, Kansas City, MO, 64153

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History

Regulatory History (5)
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.
Customer Dispute
September 2020
Settled
Customer Dispute
March 2020
Settled
Customer Dispute
September 2018
Settled
Customer Dispute
May 2006
Denied
Customer Dispute
May 2005
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Mark is the president of Mid-American Wealth Advisory Group, which offers insurance and annuity sales and tax preparation, and is also an independent insurance agent. He also owns a drone flight company and a share cropping company, and spends about half his time on investment advisory services.

Employment History
Current Registrations
Mid-American Wealth Advisory Group
March 2021 - Present · 5 yrs 7 mos
Previous Registrations
Mid-American Wealth Advisory Group
October 2020 - January 2021 · 3 mos
Sound Income Strategies, LLC
April 2015 - June 2021 · 6 yrs 2 mos
Investors Capital Advisory
January 2010 - November 2015 · 5 yrs 10 mos
Investors Capital Advisory
January 2005 - December 2009 · 4 yrs 11 mos
Eastern Point Advisors INC.
July 1998 - December 2004 · 6 yrs 5 mos
State Registrations2 states
KSMO
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.
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