MATHESON & ROCK WEALTH MANAGEMENT, LLC
Adviser information for MATHESON & ROCK WEALTH MANAGEMENT, LLC last updated from Form ADV on January 9th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Iowa, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 907 | $286.0M |
| Non-Discretionary | 50 | $100.0M |
| Total | 957 | $386.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 260 | $100.0M |
| HNW Individuals | 117 | $253.0M |
| Banking or thrift institutions | <5 | $13.0M |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $20.0M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUM% OF PLAN ASSETS |
Identifiers
| SEC RIA File Number | 801-114867 |
|---|---|
| SEC ERA File Number | 801-114867 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289603 |
| Legal Entity Identifier | None |
Principal Office
2322 E. KIMBERLY ROAD,SUITE 150N
DAVENPORT
IA
United States
Monday - Friday, 8:00AM - 4:00PM
Tel: 800-682-3937, Fax: 563-355-7640
Chief Compliance Officer
JUDY DELVECCHIO
2322 E. KIMBERLY ROAD
SUITE 150N
DAVENPORT
IA
United States
Tel:
800-682-3937
Fax:
563-355-7640
J****@*********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MATHESON, MICHAEL, ALLEN | Individual | – | MEMBER/INVESTMENT ADVISOR REPRESENTATIVE | 01/2022 | 25-50% |
| Rock, John, David | Individual | – | MEMBER/INVESTMENT ADVISOR REPRESENTATIVE | 01/2022 | 25-50% |
| ROCK, DEAN, ALLEN | Individual | – | OWNER | 01/2022 | < 5% |
| DELVECCHIO, JUDY, ANN | Individual | – | CHIEF COMPLIANCE OFFICER/MEMBER | 01/2022 | 5-10% |