MATTSON FINANCIAL SERVICES, LLC
Adviser information for MATTSON FINANCIAL SERVICES, LLC last updated from Form ADV on March 19th, 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 | Michigan, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,435 | $295.6M |
| Non-Discretionary | 0 | $0 |
| Total | 2,435 | $295.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 826 | $211.5M |
| HNW Individuals | 52 | $84.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 3 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops401K CONSULTING SERVICES |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesREFERRAL FEES/ PERCENTAGE OF ASSETS UNDER ADVISEMENT |
Identifiers
| SEC RIA File Number | 801-120063 |
|---|---|
| SEC ERA File Number | 801-120063 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 153067 |
| Legal Entity Identifier | None |
Principal Office
3226 28TH STREET SEKENTWOOD
MI
United States
8:30 AM - 5:00 PM MON - THURS, 8:30 AM-2 PM FRIDAY
Tel: 800-536-8907, Fax: 616-805-5348
Chief Compliance Officer
LAUREL STEWARD
INVESTMENT ADVISOR REPRESENTATIVE
3226 28TH STREET SE
KENTWOOD
MI
United States
Tel:
800-536-8907
Fax:
616-805-5348
L*******@*******************M
(Full email address available in API data)
Industry Affiliates
| LAKEVIEW FINANCIAL GROUP, LLC | Insurance company or agency |
| MATTSON INSURANCE AGENCY LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MATTSON, GARY, HERMAN | Individual | – | MANAGING MEMBER/INVESTMENT ADVISOR REPRESENTATIVE | 01/2010 | 50-75% |
| Steward, Taylor, Franklin | Individual | – | MEMBER/INVESTMENT ADVISOR REPRESENTATIVE | 06/2019 | 10-25% |
| GREEN, GERALD, DOUGLAS | Individual | – | MEMBER/INVESTMENT ADVISOR REPRESENTATIVE | 06/2019 | < 5% |
| STEWARD, LAUREL, AUDREY | Individual | – | MEMBER/CHIEF COMPLIANCE OFFICER/INVESTMENT ADVISOR REPRESENTATIVE | 06/2019 | 10-25% |