Mulligan Capital, Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Mulligan Capital provides continuous discretionary portfolio management and financial planning primarily for individual clients and for self-directed ERISA retirement accounts, managing roughly $40 million across a modest client base and multiple custodial accounts. The firm also offers retirement-plan related advisory services (including ERISA 3(38)/SDBA-type engagements) and delivers written financial plans to clients who elect implementation.
The firm’s investment process emphasizes fundamental analysis, strategic asset allocation, mutual fund/ETF evaluation, and a long-term purchase orientation, with portfolios reviewed semi‑annually for rebalancing and policy updates. Accounts are managed on a discretionary basis with custodial services provided through a single qualified custodian and trade aggregation/block trading used when appropriate to execute orders across client accounts.
Notable departures from many peers are disclosed in the firm’s ADV: the brochure includes a formal disclosure section addressing legal or disciplinary events, and the firm discloses active insurance‑agency activity and an affiliated QLAC consulting entity. The ADV also explains that the firm’s principal holds insurance producer/agency licenses and may implement insurance recommendations for clients for separate compensation, a potential conflict the firm identifies and discloses.
Client services
Expertise
Occupation focus
Fee options
$0+: Negotiable up to 1.50% annually max for discretionary separately managed assets ERISA Self-Directed Profit Sharing / 401k accounts+: Negotiable, currently 1.20% annually Fixed Income only accounts+: Negotiated, starting at 0.30% (30 basis points) up to 0.60% (60 basis points) annually
Insurance product sales may generate commissions to John J Mulligan separate from advisory fees
$249 per hour for financial planning
Account minimum: $350,000 Fee-only: Financial planning fees charged hourly at $249 per hour
Main office
7110 SW Fir Loop #255
Tigard OR 97223
Advisors at this office
1
Most active in
Arizona · Oregon
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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
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