Rushwald, Mark Steven
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$52,015,000
Clients
60
32% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
60
Very HighAverage account size
$866,917
About
Mark Steven Rushwald provides discretionary asset management and financial advice to individual clients and their families, including high‑net‑worth clients. The firm structures services around household portfolios and generally accepts clients meeting a typical household minimum (commonly $250,000).
The investment process is customized through in‑person or telephone interviews and the adviser constructs tailored allocations that are generally limited to exchange‑traded funds (ETFs). Portfolios use stop‑loss instructions on all ETFs and incorporate a seasonal defensive ETF allocation in spring and summer, with positions held either long term or traded more actively when appropriate.
The firm is a sole‑proprietorship led by a long‑tenured CFP®/CLU practitioner registered since the 1980s and manages roughly $52 million in discretionary assets, and it requires clients to use Charles Schwab for custody and brokerage to receive management services. The adviser is also a licensed insurance agent who may earn commissions on insurance sales (insurance activity represents a small portion of his practice), a disclosed conflict of interest the brochure notes and describes mitigation for.
Client services
Portfolio management
Expertise
Wealth management
Retirement income strategy
Fee options
$0 - $250,000: 1.50% $250,001 - $500,000: 1.25% $500,001+: 1.00%
Commissions earned if client purchases insurance products through the owner in his role as an insurance agent (small part of business)
Account minimum: $250,000 Minimum fee: $1,500 minimum annual fee Fee-only: Advisory fees based on assets under management, no commissions for advisory services
Main office location
Rushwald, Mark Steven
Wilmington NC, United States
Number of offices
2
Most active in
Rushwald, Mark Steven has reported serving >5 clients in these states in the last 12 months.
Florida · New Jersey · North Carolina
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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