THE MATHES COMPANY, INC.
Adviser information for THE MATHES COMPANY, INC. 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 216 | $296.3M |
| Non-Discretionary | 0 | $0 |
| Total | 216 | $296.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 216 | $296.3M |
| 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 | 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 | 0 |
| No. of Non-U.S. Clients | 1 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Principal Office
12 EAST 49TH STREETSUITE 2704
NEW YORK
NY
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 212-277-5553, Fax: None
Websites
Chief Compliance Officer
RICHARD MATHES
PRESIDENT
12 EAST 49TH STREET
SUITE 2704
NEW YORK
NY
United States
Tel:
212-277-5553
R******@***********M
(Full email address available in API data)
Regulatory Contact
SORRELL MATHES
CHAIRMAN
12 EAST 49TH STREET
SUITE 2704
NEW YORK
NY
United States
Tel:
212-277-5553
S******@***********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 |
|---|---|---|---|---|---|
| MATHES, SORRELL, MARK | Individual | – | CHAIRMAN | 07/1997 | 25-50% |
| MATHES, RICHARD, CHARLES | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 01/2001 | 50-75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 12th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| Abbott Labs | COM | 259 | 2K | – |
| Air Products & Chemicals Inc | COM | 3K | 10K | – |
| Alphabet Inc. Class A | COM | 10K | 53K | – |
| Alphabet Inc. Class C | COM | 2K | 8K | – |
| Amazon Com Inc | COM | 11K | 59K | – |
| American Electrical Power Inc | COM | 307 | 4K | – |
| American Express Co. | COM | 4K | 18K | – |
| Amgen Inc | COM | 1K | 3K | – |
| Apple Inc. | COM | 14K | 64K | – |
| Applied Materials Inc. | COM | 277 | 1K | – |
| AT&T Corp | COM | 2K | 96K | – |
| Bank of America Corp | COM | 1K | 37K | – |
| Blackstone Group LP | COM | 637 | 5K | – |
| Capital One Finl Corp | COM | 249 | 2K | – |
| Caterpillar Inc | COM | 6K | 17K | – |
| Chevron Corp. | COM | 352 | 2K | – |
| Coca Cola Co. | COM | 2K | 36K | – |
| Consolidated Edison | COM | 763 | 9K | – |
| Costco Wholesale Corp | COM | 2K | 3K | – |
| Danaher Corp. | COM | 3K | 14K | – |
| Deere & Co | COM | 4K | 11K | – |
| Disney Walt Co | COM | 548 | 6K | – |
| Emerson Electric Co. | COM | 3K | 25K | – |
| EOG Resources Inc. | COM | 3K | 25K | – |
| EQT Corporation | COM | 282 | 8K | – |
| Exxon Mobil Corp. | COM | 656 | 6K | – |
| Fedex Corp. | COM | 4K | 13K | – |
| Freeport McMoran Inc. | COM | 245 | 5K | – |
| GE Aerospace Trading | COM | 6K | 35K | – |
| GE Healthcare Technologies Inc. | COM | 1K | 17K | – |
| GE Vernova Inc. | COM | 2K | 9K | – |
| Gilead Sciences Inc | COM | 446 | 7K | – |
| GXO Logistics Inc. | COM | 1K | 25K | – |
| Intel Corp. | COM | 234 | 8K | – |
| International Business Machines | COM | 230 | 1K | – |
| Iron Mountain Inc. | COM | 730 | 8K | – |
| Johnson & Johnson | COM | 3K | 20K | – |
| JP Morgan Chase & Co | COM | 5K | 25K | – |
| KLA Corporation | COM | 6K | 8K | – |
| Lockheed Martin Corp. | COM | 340 | 728 | – |
| Mastercard Inc. | Cl. A | 4K | 9K | – |
| McCormick & Co. Inc. | COM | 2K | 28K | – |
| Merck & Co New | COM | 687 | 6K | – |
| Microsoft Corp | COM | 8K | 18K | – |
| Netflix Inc | COM | 1K | 2K | – |
| Novo Nordisk A S | ADR | 620 | 4K | – |
| Nvidia Corp. | COM | 16K | 126K | – |
| Oneok Inc | COM | 218 | 3K | – |
| Parker Hannifin Corp. | COM | 6K | 11K | – |
| Pepsico Inc. | COM | 4K | 23K | – |
| Pfizer Inc | COM | 904 | 32K | – |
| Procter & Gamble Co. | COM | 588 | 4K | – |
| Qualcomm Inc. | COM | 289 | 1K | – |
| Raytheon Technologies Corp. | COM | 332 | 3K | – |
| Salesforce.com Inc | COM | 701 | 3K | – |
| Schlumberger Ltd. | COM | 694 | 15K | – |
| Servicenow Inc. | COM | 5K | 6K | – |
| JM Smucker Company | COM | 2K | 20K | – |
| Southern Company | COM | 423 | 5K | – |
| State Street Corp. | COM | 2K | 22K | – |
| Sysco Corp. | COM | 278 | 4K | – |
| 3M Company | COM | 358 | 4K | – |
| Valero Energy Corp. | COM | 4K | 23K | – |
| Verizon Communications Inc. | COM | 2K | 40K | – |
| Wabtec | COM | 4K | 24K | – |
| Warner Bros. Discovery, Inc. | COM | 204 | 27K | – |
| Duke Energy Corp Dep 5.75percent | Preferred | 611 | 24K | – |
| JP Morgan Chase & Co Prfrd Ser L | Preferred | 581 | 28K | – |
| JP Morgan Chase & Co Prfrd Ser D | Preferred | 378 | 15K | – |
| US Bancorp Prefrd Ser M | Preferred | 428 | 25K | – |
| Wells Fargo & Co Dep Sh Cl A | Preferred | 427 | 21K | – |
| Angel Oak DFS Inc TR | COM | 195 | 16K | – |
| Blackrock Capital Allocation Trust | COM | 1K | 91K | – |
| Blackrock Muni Inc TR | COM | 679 | 67K | – |
| Blackrock Muniyield New York Quality Fd | COM | 209 | 20K | – |
| Blackrock Science and Technology Term Tr | COM | 437 | 22K | – |
| Eaton Vance Muni Bond Fund | COM | 1K | 122K | – |
| First Trust Intermediate Duration Pfd Incm. | COM | 358 | 20K | – |
| Flaherty & Crumrine Dynamic Pfd | Preferred | 317 | 17K | – |
| Nuveen AMT-Free Municipal Credit Incm Fd. | COM | 716 | 58K | – |
| Nuveen NY AMT-Free Quality Incm. | COM | 599 | 54K | – |
| Nuveen Muni Value Fund Inc. | COM | 1K | 138K | – |
| Nuveen Preferred & Income Securities Fd | COM | 648 | 87K | – |
| Pimco Access Income Fund | COM | 348 | 22K | – |
| Pimco Dynamic Income Fd | COM | 396 | 21K | – |
| Rivernorth Flexible Municipal Incm Fd II | COM | 481 | 34K | – |
| SPDR Portfolio Short Term Corp. Bond Fund | COM | 297 | 10K | – |
| Consumer Discretionary Select Sector SPDR | COM | 3K | 17K | – |
| Consumer Staples Select Sector SPDR | COM | 693 | 9K | – |
| Energy Select Sector SPDR ETF | COM | 884 | 10K | – |
| Financial Sector SPDR ETF | COM | 491 | 12K | – |
| First Trust DJ Internet Index | COM | 225 | 1K | – |
| Invesco QQQ Trust, Series 1 | COM | 2K | 4K | – |
| Invesco S&P 500 Equal Weight ETF | COM | 234 | 1K | – |
| Ishares Dow Jones US ETF | COM | 1K | 9K | – |
| Ishares Global Healthcare ETF | COM | 367 | 4K | – |
| Ishares International Select Dividend ETF | COM | 318 | 12K | – |
| Ishares North American Tech ETF | COM | 15K | 163K | – |
| Ishares North American Tech Software ETF | COM | 6K | 67K | – |
| Ishares Russell 1000 Growth ETF | COM | 6K | 16K | – |
| Ishares Russell 2000 ETF | COM | 3K | 14K | – |
| Ishares Russell Mid-Cap ETF | COM | 511 | 6K | – |
| Ishares Russell Mid-Cap Growth ETF | COM | 3K | 30K | – |
| Ishares Russell Mid-Cap Value ETF | COM | 724 | 6K | – |
| Ishares S&P 500 Value ETF | COM | 200 | 1K | – |
| Ishares US Medical Devices ETF | COM | 3K | 51K | – |
| Ishares US Preferred Stock ETF | COM | 2K | 54K | – |
| SPDR S&P Biotech ETF | COM | 875 | 9K | – |
| SPDR Gold Trust | COM | 309 | 1K | – |
| SPDR S&P 500 ETF Trust | COM | 3K | 5K | – |
| SPDR S&P 600 Small Cap ETF | COM | 3K | 71K | – |
| SPDR Ser Tr S&P Dividend | COM | 984 | 8K | – |
| SPDR S&P Midcap 400 | COM | 2K | 3K | – |
| SPDR Fd Technology | COM | 5K | 23K | – |
| SPDR Fd Utilities | COM | 286 | 4K | – |
| Vaneck Semiconductor ETF | COM | 1K | 5K | – |
| Vanguard Extended Market ETF | COM | 1K | 6K | – |
| Vanguard FTSE All-Wrd Ex-US | COM | 317 | 5K | – |
| Vanguard Growth ETF | COM | 9K | 23K | – |
| Vanguard High Div Yield | COM | 660 | 6K | – |
| Vanguard Large-Cap ETF | COM | 3K | 13K | – |
| Vanguard Mega Cap Growth ETF | COM | 5K | 16K | – |
| Vanguard Mid-Cap ETF | COM | 399 | 2K | – |
| Vanguard Mid Cap Growth ETF | COM | 1K | 6K | – |
| Vanguard Total Stock Market ETF | COM | 7K | 26K | – |
| Vanguard Value ETF | COM | 387 | 2K | – |
| Ishares TIPS Bond ETF | COM | 374 | 4K | – |
| Vanguard Short Term Inflation Protected ETF | COM | 631 | 13K | – |