{ "crd_number": 107099, "slug": "mount-vernon-associates-inc-baltimore-md-107099", "primary_business_name": "MOUNT VERNON ASSOCIATES INC", "legal_name": "MOUNT VERNON ASSOCIATES INC", "dbas": [], "city": "Baltimore", "state": "MD", "country": "United States", "cbsa_code": "12580", "metro": { "cbsa_code": "12580", "common_name": "Baltimore", "msa_name": "Baltimore-Columbia-Towson, MD", "path": "/advisors/md/baltimore" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "1986-03-24", "years_registered": 40, "period": "2026-10-01", "filing_date": "2026-02-18", "carried_forward": false, "raum_total": 232510350.0, "raum_discretionary": 232510350.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 3, "advisory_employees": 2, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 21443934.0, "count": 8 }, "individuals": { "raum": 9835063.0, "count": 23 }, "pension_profit_sharing": { "raum": 53835414.0, "count": 2, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 147395939.0, "count": 39 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "FL", "MD", "NH", "PA" ], "websites": [ "https://mtvernonassoc.biz", "https://mtvernonassoc.com", "https://mtvernonassoc.info", "https://mtvernonassoc.net", "https://mtvernonassoc.us" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/107099", "city_as_filed": "BALTIMORE", "url": "https://advisorcensus.com/firm/mount-vernon-associates-inc-baltimore-md-107099", "display_name": "Mount Vernon Associates Inc", "summary": "Mount Vernon Associates Inc is an SEC-registered investment advisory firm in Baltimore, MD, registered since 1986, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 18, 2026.", "citation": "AdvisorCensus. Mount Vernon Associates Inc (CRD 107099): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Mount Vernon Associates Inc compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Mount Vernon Associates Inc reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Mount Vernon Associates Inc located?", "a": "Mount Vernon Associates Inc's principal office is in Baltimore, MD, according to its Form ADV." }, { "q": "Is Mount Vernon Associates Inc registered with the SEC or a state?", "a": "Mount Vernon Associates Inc is an SEC-registered investment advisory firm, registered since 1986. Status as filed: Approved. CRD 107099." }, { "q": "How much does Mount Vernon Associates Inc manage?", "a": "Mount Vernon Associates Inc reports $232,510,350 in regulatory assets under management in its Form ADV filing dated February 18, 2026 (100% discretionary)." }, { "q": "How have Mount Vernon Associates Inc's assets and staff changed since 2021?", "a": "In the Form ADV data for Mount Vernon Associates Inc: Regulatory assets under management: $205,302,049 in the October 2021 data and $232,510,350 in the October 2026 data, up 13%. Total employees: 3 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Mount Vernon Associates Inc serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (39); individuals (other than high net worth individuals) (23); charitable organizations (8)." }, { "q": "Which custodians does Mount Vernon Associates Inc use?", "a": "Mount Vernon Associates Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Bank of Labor and Charles Schwab & Co., Inc. as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Mount Vernon Associates Inc report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/107099" }, { "q": "What changed in Mount Vernon Associates Inc's recent Form ADV filings?", "a": "In the March 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 205302049.0, "total_employees": 3, "filing_date": "2021-02-08" }, { "period": "2022-10-01", "regulatory_assets_under_management": 232176402.0, "total_employees": 3, "filing_date": "2022-03-03" }, { "period": "2023-10-01", "regulatory_assets_under_management": 159674238.0, "total_employees": 3, "filing_date": "2023-01-30" }, { "period": "2024-10-01", "regulatory_assets_under_management": 195185750.0, "total_employees": 3, "filing_date": "2024-02-20" }, { "period": "2025-10-01", "regulatory_assets_under_management": 234447352.0, "total_employees": 3, "filing_date": "2025-02-07" }, { "period": "2026-10-01", "regulatory_assets_under_management": 232510350.0, "total_employees": 3, "filing_date": "2026-02-18" } ], "recent_changes": [ { "period": "2026-03-01", "period_label": "March 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Bank of Labor", "name_as_filed": "BANK OF LABOR", "affiliated": false }, { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/mount-vernon-associates-inc-baltimore-md-107099.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 23, "fewer_than_5": false, "raum": 9835063.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 39, "fewer_than_5": false, "raum": 147395939.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 2, "fewer_than_5": true, "raum": 53835414.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 8, "fewer_than_5": false, "raum": 21443934.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/107099", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }