Midwestern Securities Trading Company, LLC (East Peoria)

Midwestern Securities Trading Company provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers, educational seminars and workshops, and portfolio management for 401(k) retirement plans defined in section 3(38) of erisa rules. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Midwestern Securities Trading Company: assets under management

The assets under management (AUM) of Midwestern Securities Trading Company, LLC is $540.07 million. The firm's AUM has grown by 391% since the beginning of its operation, and $445 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $204.1 million in discretionary accounts and $335.96 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $148.65 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $103.56 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 72% of the total AUM. The second-largest asset type is exchange traded securities, which make up 21% of the firm’s portfolio. Investments in cash and cash equivalents form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Midwestern Securities Trading Company, LLC for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Michael John Graham serves?

The firm provides services to individuals, high net worth individuals, and corporations or other businesses. The largest group of clients of Michael John Graham is individuals with 4,533 clients and $436.9 million of assets under management. Among the 10 most similar advisory firms, Midwestern Securities Trading Company has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $540.07 million for 4,617 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Midwestern Securities Trading Company doesn't advise any private funds.

Careers at Midwestern Securities Trading Company, LLC

The company employs 59 people that are either part- or full-time employees. 66 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There are 3 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Michael John Graham has been acting as President since 1 Dec 1999. Karen Emily Hansen joined the executive team most recently as the Part Owner/Financial Advisor.

Direct owners and executive officers

Indirect Owners

The SEC currently registers 1 indirect owner.

Based in East Peoria

The principal office where Midwestern Securities Trading Company, LLC performs its advisory services is located at 300 E Washington Street Suite 3, East Peoria, IL 61611, which is also the mailing address of the firm. An additional office of the firm is in Toulon, IL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 309-699-6786 or by fax 309-699-7498. The normal business hours are 8:00 - 4:30 on Monday - Friday. You can find more information about the New York firm at midwesternsecurities.com.

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