# MDC Financial Research, LLC

> MDC Financial Research, LLC is a state-registered investment advisory firm, registered since 2009, with no regulatory assets under management reported in its Form ADV filing dated March 22, 2026.

- CRD: 149221
- Filed as: MDC FINANCIAL RESEARCH, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Filing period: October 2026
- Form ADV filing dated: March 22, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/149221
- AdvisorCensus page: https://advisorcensus.com/firm/mdc-financial-research-llc-149221

## Quick answers

**How is MDC Financial Research, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), MDC Financial Research, LLC reports these compensation arrangements: subscription fees (for a newsletter or periodical); fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is MDC Financial Research, LLC registered with the SEC or a state?**
MDC Financial Research, LLC is a state-registered investment advisory firm, registered since 2009. Status as filed: APPROVED. CRD 149221.

**What types of clients does MDC Financial Research, LLC serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (21).

**Does MDC Financial Research, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/149221

## From the Form ADV filing

### Compensation (Item 5.E)
- Subscription fees (for a newsletter or periodical)
- Fixed fees (other than subscription fees)

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | Fewer than 5 | Not reported |
| High net worth individuals | Fewer than 5 | Not reported |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 21 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | Not reported |
| Charitable organizations | 0 | Not reported |
| State or municipal government entities (including government pension plans) | 0 | Not reported |
| Other investment advisers | Fewer than 5 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | Fewer than 5 | Not reported |
| Other | 0 | Not reported |

### Advisory services (Item 5.G)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Market timing services
- Other

### Firm details
- Registered since: 2009 (16 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, IL, NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
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- [eventdrivengov.com](https://eventdrivengov.com)
- [eventdriveninvesting.com](https://eventdriveninvesting.com)
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- [eventdrivenpharma.com](https://eventdrivenpharma.com)
- [eventdrivenriskarb.com](https://eventdrivenriskarb.com)
- [eventfund.ai](https://eventfund.ai)
- [marketarbitrage.ai](https://marketarbitrage.ai)
- [mdc.financial](https://mdc.financial)
- [mdcfinancial.co](https://mdcfinancial.co)
- [mdcfinancial.com](https://mdcfinancial.com)
- [mdcfinancial.net](https://mdcfinancial.net)
- [mdcfinancial.org](https://mdcfinancial.org)
- [vulturenotes.com](https://vulturenotes.com)
- LinkedIn @107114195

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. MDC Financial Research, LLC (CRD 149221): Form ADV filing data as of October 2026.