MMM Capital Ventures
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
MMM Capital Ventures is a small, recently formed advisory firm that primarily serves individual retail investors and custodial accounts for minors, providing portfolio management and financial planning. Like many supported firms, it generally charges asset-based advisory fees and offers ongoing, discretionary portfolio management for clients.
The firm follows an active, market-timing approach that blends technical analysis of price charts and indicators with sentiment measures and market news to seek entry and exit points. Its implementation can be tactical and sophisticated, including the use of options (a regularly rolled call strategy), leveraged ETFs, and covered-call overlays, and it offers both discretionary and non‑discretionary management arrangements.
Notable for its size, the firm also engages in performance-based fee arrangements for qualified clients and offers a direct-indexing strategy implemented through Schwab Personalized Indexing, with Schwab responsible for day‑to‑day trading under a wrap arrangement. The brochure discloses custodial‑provided benefits from its chosen custodian and the outside employment of a managing member, both of which the firm identifies and manages as potential conflicts of interest.
Client services
Expertise
Demographic focus
Fee options
May agree in writing to fixed fee arrangements documented in advisory agreement or fee schedule; household combined flat fee possible for related clients.
$0 - $49,999: 3.00% annually $50,000 - $99,999: 2.00% annually $100,000+: 1.50% annually
Financial planning only clients charged $200 per hour.
For qualified clients (assets ≥ $1,400,000 or net worth ≥ $2,700,000), a $10,000 performance fee is charged for any year with a net return of 25% or greater.
Fee-only: Advisory fees billed monthly in advance based on tiered AUM schedule; financial planning only service billed at $200/hour.
Main office
See officeBrick NJ
Advisors at this office
1
Most active in
California · New Jersey
Also doing business as
Mmm Capital Ventures · Mmm Capital Ventures LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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
Quick links
Advisors at this firm
Max M
Series 65
Huntington Beach, CA
MMM Capital Ventures
Max Mc Grail is a Series 65-licensed advisor with MMM Capital Ventures, where he has been working since 2025. He is also the founder and CEO of Sunset Beach Collective LLC, a lifestyle brand focused on clothing and merchandise. His prior career includes roles at the Auto Club of Southern California and several other positions across different industries. MMM Capital Ventures is a small advisory firm serving primarily individual retail investors and custodial accounts for minors. The firm employs an active, market-timing approach that uses technical analysis, sentiment measures, and market news, offering both discretionary and non-discretionary portfolio management with sophisticated strategies including options and leveraged ETFs.
Michael Y
Series 65
Brick, NJ
MMM Capital Ventures
Michael Yorio Jr. is a financial advisor at MMM Capital Ventures with a Series 65 credential and less than one year of industry experience. His prior work includes various roles in the hospitality and real estate sectors, including employment as a bartender at Wharfside Patio Bar. He is also associated with several small business ventures, some of which are currently inactive. MMM Capital Ventures is a small advisory firm serving individual retail investors and custodial accounts, offering portfolio management and financial planning. The firm employs an active, market-timing investment approach that incorporates technical analysis, sentiment measures, and tactical strategies such as options and leveraged ETFs.
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