MDK FINANCIAL GROUP, INC.
CRD #316876 SEC #801-122791 HOUSTON, TX 713-665-3880
SEC Registered
Total AUM
$146.2M
Discretionary
$135.7M
Employees
1
Clients
251
Accounts
512
Firm Details
- Organization Type
- Corporation
- State of Formation
- Texas
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2023
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| KROST, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER, PRESIDENT | NA | Control |
| KROST, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER, PRESIDENT | NA | Control |
| KROST, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER, PRESIDENT | NA | Control |
| KROST, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER, PRESIDENT | NA | Control |
| KROST, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER, PRESIDENT | NA | Control |
| NIEMANN, ALAN, PHILIP | I | PRESIDENT | NA | Control |
| NIEMANN, ALAN, PHILIP | I | PRESIDENT | NA | Control |
| ROBINSON, MITCHELL, KEAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ROBINSON, MITCHELL, KEAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ADAPTATION FINANCIAL ADVISORS INC. | DE | SHAREHOLDER | E | Control |
| ADAPTATION FINANCIAL ADVISORS INC. | DE | SHAREHOLDER | E | Control |
| ADAPTATION FINANCIAL ADVISORS INC. | DE | SHAREHOLDER | E | Control |
| ADAPTATION FINANCIAL ADVISORS INC. | DE | SHAREHOLDER | E | Control |
| ADAPTATION FINANCIAL ADVISORS INC. | DE | SHAREHOLDER | E | Control |
| ADAPTATION FINANCIAL ADVISORS INC. | DE | SHAREHOLDER | E | Control |
| ADAPTATION FINANCIAL ADVISORS INC. | DE | SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| NIEMANN, ALAN, PHILIP | I | ADAPTATION FINANCIAL ADVISORS INC. | E | Control |
| NIEMANN, ALAN, PHILIP | I | ADAPTATION FINANCIAL ADVISORS INC. | E | Control |
| NIEMANN, ALAN, PHILIP | I | ADAPTATION FINANCIAL ADVISORS INC. | E | Control |
| NIEMANN, ALAN, PHILIP | I | ADAPTATION FINANCIAL ADVISORS INC. | E | Control |
| NIEMANN, ALAN, PHILIP | I | ADAPTATION FINANCIAL ADVISORS INC. | E | Control |
| NIEMANN, ALAN, PHILIP | I | ADAPTATION FINANCIAL ADVISORS INC. | E | Control |
| NIEMANN, ALAN, PHILIP | I | ADAPTATION FINANCIAL ADVISORS INC. | E | Control |
Registrations
Federal
IA
Mar 31, 2023 REGISTERED
Notice Filings (1)
TX
Address
1912 BRANARD ST.HOUSTON, TX 77080
United States
Phone: 713-665-3880