MATHIS WEALTH MANAGEMENT
LARRY MATHIS FINANCIAL PLANNING, L.L.C. Legal Name
Adviser information for MATHIS WEALTH MANAGEMENT last updated from Form ADV on March 27th, 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 | Arizona, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 683 | $154.1M |
| Non-Discretionary | 15 | $5.9M |
| Total | 698 | $160.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 254 | $78.0M |
| HNW Individuals | 58 | $76.3M |
| 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 | 5 | $4.3M |
| Charitable organizations | <5 | $1.4M |
| 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 | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshopsFINANCIAL CONSULTATIONS |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesREF'L FEES FROM 3RD PARTY RIAS; EDUCATIONAL SEMINARS & WORKSHOPS |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-128560 |
|---|---|
| SEC ERA File Number | 801-128560 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 172858 |
| Legal Entity Identifier | None |
Principal Office
7210 N 16TH STREETPHOENIX
AZ
United States
BY APPOINTMENT ONLY, BY APPOINTMENT ONLY
Tel: 602-393-0501, Fax: 800-391-6075
Chief Compliance Officer
LARRY MATHIS
MANAGING MANAGER
7210 N. 16TH STREET
PHOENIX
AZ
United States
Tel:
602-393-0501
Fax:
800-391-6075
L****@***************M
(Full email address available in API data)
Regulatory Contact
JENNIFER PANICKER
OPERATIONS DIRECTOR
7896 GODOLPHIN DRIVE
SPRINGFIELD
VA
United States
Tel:
602-393-0501
Fax:
800-391-6075
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 |
|---|---|---|---|---|---|
| MATHIS, LARRY, LEE | Individual | – | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | 11/2004 | > 75% |