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MATHESON & ROCK WEALTH MANAGEMENT, LLC

C34
CRD 289603·SEC 801-114867·DAVENPORT, IA
AUM
$530.0M
$500M-$1B
Est. Revenue
$5.3M
@ 1% on AUM
Est. EBITDA
$1.6M
@ 30% margin
Est. Deal Value
$12.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
MATHESON & ROCK WEALTH MANAGEMENT, LLC
CRD
289603
SEC file #
801-114867
EIN
—
DBA names
—

Economics

AUM
$530.0M
AUM band
$500M-$1B
AUM trajectory
'20'26
$110.0M → $530.0M▲ +382%
Client mix
Individuals Other265
Individuals High Net Worth160
Charitable Organizations2
Banking Institutions1

Operations

Employees (total)
3
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
2 advisors → 3 advisors▲ +50%
Primary office
DAVENPORT IA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individualsPension consulting
Fee basis
% of AUMOther Compensation

Filings

Latest ADV filing
01/08/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
MATHESON, MICHAEL, ALLEN
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
4
Control Persons
MATHESON, MICHAEL, ALLEN
Rock, John, David
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Charles Schwab6
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Top Owner CRD
2553786
Trust Company Affiliate
No

People (5)

5
MATHESON, MICHAEL, ALLEN
IAR · Direct Owner · 37.5%
2553786
Rock, John, David
IAR · Direct Owner · 37.5%
6649818
DELVECCHIO, JUDY, ANN
Direct Owner · 7.5%
6504253
DEAN ALLEN ROCK
Executive Officer · 2.5%
727687
Luke Jennings
IAR
7473222