Rushwald, Mark Steven
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
Expertise
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
Wilmington NC
Advisors at this office
1
Most active in
Florida · New Jersey · North Carolina
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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