Mogul Wealth Management, Inc.
- Regulatory AUM
- $59.4M
- Discretionary
- $59.4M
- Clients
- 148
- Avg AUM / client
- $402K
- Accounts
- 148
- Employees
- 2
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 142 | $49.0M | 82.5% |
| High net worth individuals | 1 | $7.3M | 12.3% |
| Pension and profit sharing plans | 5 | $3.1M | 5.17% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| R.J. Kielty Plumbing, Inc. 401(k) Plan R.J. Kielty Plumbing, Inc. | 2024 |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Troy I Broyles | Registered representative | Jan 2025 (2y) | ||
| Phillip Ernest Cook | Registered representative | Jan 2026 (1y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| R.J. Kielty Plumbing, Inc. 401(k) Plan | R.J. Kielty Plumbing, Inc. | 183 | $2.6M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/19/2025 | 989 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $59.4M (100% of AUM) Mar 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 19, 2025.
View current Form ADV (SEC/IAPD) ↗