Maryland Financial Group, Inc. (Rockville)


Maryland Financial Group, Inc. is a large advisory firm based in Rockville. It manages $416.1 million of regulatory assets for 1,465 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of California, District of Columbia, Florida, and 12 other states.

Maryland Financial Group provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Maryland Financial Group: assets under management

The assets under management (AUM) of Maryland Financial Group, Inc. is $416.1 million. The firm's AUM has grown by 643% since the beginning of its operation, and $1.38 million of the total AUM is attributable to clients outside of the United States.

The firm manages $333.45 million in discretionary accounts and $82.65 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $263.8 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $411.21 thousand.
Maryland Financial Group has custody of $378.13 million in cash and securities for 849 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 66% of the total AUM. The second-largest asset type is exchange traded securities, which make up 21% of the firm’s portfolio. Investments in cash and cash equivalents form 7% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Maryland Financial Group, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Christopher Lee Cox serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Christopher Lee Cox is high net worth individuals with 130 clients and $219.36 million of assets under management. Among the 9 most similar advisory firms, Maryland Financial Group has the 5th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $416.1 million for 866 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 2% of the firm’s clients are foreign persons or businesses.

Maryland Financial Group doesn't advise any private funds.

Careers at Maryland Financial Group, Inc.

The company employs 21 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 21 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Christopher Lee Cox has been acting as President since 1 Dec 2005. Llc The Monitor Group joined the executive team most recently as the Owner.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Llc The Monitor Group Owner 1 Dec 2005 75% - 100% 20-2075885
Christopher Lee Cox President 1 Dec 2005 Other 2889383
Amy Fernicola Williard Chief compliance officer; vp 1 Dec 2005 Other 3037484
Amy Fernicola Cox Chief compliance officer; vp 1 Dec 2005 Other 3037484

Indirect Owners

The SEC currently registers 3 indirect owners.

Name Entity Date acquired Ownership Employer ID
Christopher Lee Cox Managing member 1 Dec 2004 50% - 75% 2889383
Amy Fernicola Williard Managing member 1 Dec 2004 50% - 75% 3037484
Amy Fernicola Cox Managing member 1 Dec 2004 25% - 50% 3037484

Based in Rockville

The principal office where Maryland Financial Group, Inc. performs its advisory services is located at 2600 Tower Oaks Boulevard, Rockville, MD 20852, which is also the mailing address of the firm. An additional office of the firm is in Jacksonville, FL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 301-251-8550 or by fax 301-251-8554. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at legacywm.com.