Mack Investment Securities, Inc.
- Regulatory AUM
- $303M
- Discretionary
- $215M
- Clients
- 673
- Avg AUM / client
- $450K
- Accounts
- 1,017
- Employees
- 8
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 379 | $65.0M | 21.5% |
| High net worth individuals | 282 | $231M | 76.3% |
| Pension and profit sharing plans | 12 | $6.8M | 2.26% |
People (8)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Stephen Walter Mack | Trustee Is President And Cco | CFP | Jan 1986 (41y) | 75% or more |
| John Anthony Kelty | Registered representative | CFP | Jul 1998 (28y) | |
| Norman Peter Chiodras | Registered representative | CFP | Jul 1998 (28y) | |
| Steven Brian Milstein | Registered representative | Jul 1998 (28y) | ||
| John Russell Budziak | Registered representative | Jun 2010 (16y) | ||
| Kevin Edward Mack | Registered representative | Aug 2012 (14y) | ||
| Michael Stephen Mack | Registered representative | May 2020 (6y) | ||
| Sheldon David Kaiz | Registered representative | CFP | Jan 2026 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 989 KB | 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
- • Hourly charges
- • Fixed fees
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Market timing services
Custody
Reported custodians
- Axos Clearing $152M (50% of AUM) Mar 2026
- E*TRADE (Morgan Stanley) $147M (79% of AUM) Nov 2021
- Trust Company Of America $121M (74% of AUM) Jul 2018
- SEI Private Trust $48.2M (16% of AUM) Mar 2026
- TD Ameritrade $38.9M (21% of AUM) Nov 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗