Mach 1 Financial Group, Llc
- Regulatory AUM
- $546M
- Discretionary
- $546M
- Clients
- 1,566
- Avg AUM / client
- $349K
- Accounts
- 3,255
- Employees
- 20
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jul 13, 2026
Investments (13F portfolio — 161 positions, $284,047,092)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | J P Morgan Exchange Traded F | CORE PLUS BD ETF | $29,102,546 | 618,151 | 10.2% | 5.33% |
| 2 | First Tr Exchange Traded Fd | GROWTH STRENGTH | $18,612,582 | 546,689 | 6.55% | 3.41% |
| 3 | Vanguard Bd Index Fds | INTERMED TERM | $12,675,349 | 164,231 | 4.46% | 2.32% |
| 4 | American Centy Etf Tr | US LARGE CAP VLU | $12,666,340 | 157,130 | 4.46% | 2.32% |
| 5 | First Tr Exchange Traded Fd | CORE INVESTMENT | $12,005,908 | 572,800 | 4.23% | 2.2% |
| 6 | Invesco Qqq Tr | UNIT SER 1 | $11,701,841 | 20,273 | 4.12% | 2.14% |
| 7 | J P Morgan Exchange Traded F | ULTRA SHRT ETF | $10,181,426 | 201,174 | 3.58% | 1.86% |
| 8 | First Tr Exchng Traded Fd Vi | SMITH UNCONSTRAI | $10,024,491 | 404,701 | 3.53% | 1.83% |
| 9 | First Tr Exchange Traded Fd | SHS | $9,506,794 | 187,141 | 3.35% | 1.74% |
| 10 | First Tr Exchange Traded Fd | RISNG DIVD ACHIV | $9,080,805 | 132,992 | 3.2% | 1.66% |
| 11 | First Tr Exchange Traded Fd | WCM INTL EQUITY | $8,004,835 | 477,330 | 2.82% | 1.47% |
| 12 | Walmart Inc | COM | $7,592,487 | 61,091 | 2.67% | 1.39% |
| 13 | First Tr Exchange Traded Fd | INTERMEDIATE DUR | $7,476,879 | 360,331 | 2.63% | 1.37% |
| 14 | First Tr Exchange Traded Fd | SMID RISNG ETF | $5,701,322 | 144,593 | 2.01% | 1.04% |
| 15 | Ishares Tr | RUS 2000 GRW ETF | $5,691,773 | 18,137 | 2.0% | 1.04% |
| 16 | Ishares Tr | CORE MSCI EAFE | $5,253,909 | 58,035 | 1.85% | 0.96% |
| 17 | First Tr Exchange Traded Fd | RBA INDL ETF | $5,113,125 | 46,155 | 1.8% | 0.94% |
| 18 | Dimensional Etf Trust | INTL CORE EQT MK | $4,882,206 | 125,312 | 1.72% | 0.89% |
| 19 | American Centy Etf Tr | AVANTIS EMERGING | $4,261,051 | 63,004 | 1.5% | 0.78% |
| 20 | J P Morgan Exchange Traded F | HEDGED EQUITY LA | $4,219,922 | 66,029 | 1.49% | 0.77% |
| 21 | First Tr Exchng Traded Fd Vi | INNOVATION LEAD | $3,678,178 | 123,511 | 1.29% | 0.67% |
| 22 | J P Morgan Exchange Traded F | INTL BD OPP ETF | $3,184,238 | 66,588 | 1.12% | 0.58% |
| 23 | Apple Inc | COM | $2,792,219 | 11,001 | 0.98% | 0.51% |
| 24 | Nvidia Corporation | COM | $2,773,530 | 15,903 | 0.98% | 0.51% |
| 25 | Alphabet Inc | CAP STK CL A | $2,371,795 | 8,248 | 0.84% | 0.43% |
Top 25 of 161 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,405 | $301M | 55.1% |
| High net worth individuals | 161 | $242M | 44.2% |
| Pension and profit sharing plans | Fewer than 5 | $2.1M | 0.39% |
| Corporations and other businesses | Fewer than 5 | $1.9M | 0.34% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Linc Systems 401(k) Plan Linc Aquisition Co. | 2024 |
People (11)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Aaron Lee | Founder & Managing Partner | Feb 2019 (7y) | ≈ 56.25% – 100% via Mach 1 Holdings, Inc. | |
| Matthew Jordan Walters | Ceo & Owner | CFP | Feb 2019 (7y) | 10% – 25% |
| Lawler, Tammy, Lagene | Controller | Feb 2022 (5y) | Less than 5% | |
| James Lee Mackey | President, Coo & Owner | Mar 2022 (4y) | 5% – 10% | |
| Leas, James, Brent | Chief Compliance Officer | Jun 2024 (2y) | Less than 5% | |
| Elijah David Freeman | Registered representative | CFP | Jan 2022 (5y) | |
| John Edward Martfeld | Registered representative | Apr 2023 (3y) | ||
| Isaac B Johnson | Registered representative | CFP | Apr 2024 (2y) | |
| Graham Mc Daniel Funderburk | Registered representative | Mar 2025 (1y) | ||
| Nicholas Mc Kenney | Registered representative | Jan 2026 (1y) | ||
| William Martens | Registered representative | Jun 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Mach 1 Holdings, Inc. | Owner | Sep 2021 | A | 75% or more |
Undisclosed: 0% – 10% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- David Aaron Lee: 75% – 100% of Mach 1 Holdings, Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
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 |
|---|---|---|---|---|
| Linc Systems 401(k) Plan | Linc Aquisition Co. | 211 | $30.7M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/13/2026 | 1 MB | 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $467M (86% of AUM) Jul 2026
- LPL Financial $68.4M (13% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: Jul 13, 2026.
View current Form ADV (SEC/IAPD) ↗