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MATHESON & ROCK WEALTH MANAGEMENT, LLC
CRD 289603File 801-114867
APPROVED
Retail clients
Filing as of Jan 8, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$530.0M
Above cohort median (national)
Discretionary AUM
$530.0M
Clients
428
1,070 accounts
Employees
3
Above cohort median in IA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Mar 25, 2019
- Principal office
- 2322 E. KIMBERLY ROAD,, SUITE 150N, DAVENPORT, IA, 52807
- Phone
- 800-682-3937
- Website
- Not reported
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $530.0M
- Discretionary AUM
- $530.0M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 1,070
- Non-discretionary accounts
- 0
- Total accounts
- 1,070
- AUM per client
- $1.2M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | Fewer than 5 | $26.0M |
| High net worth individuals | 160 | $335.0M |
| Banking or thrift institutions | Fewer than 5 | $20.0M |
| Individuals (other than high net worth individuals) | 265 | $149.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Other (described) — % OF PLAN ASSETS
- A percentage of assets under your management
Advisory activities
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Feb 1, 2026 | Clients | 403 | 428 | increased by25 |
| Feb 1, 2026 | AUM | $435,000,000 | $530,000,000 | increased by$95,000,000 |
| Feb 1, 2026 | Accounts | 1,022 | 1,070 | increased by48 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 2 | 3 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 471 | 403 | decreased by68 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $300,000,000 | $435,000,000 | increased by$135,000,000 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 331 | 1,022 | increased by691 |
| Mar 1, 2022 | Clients | 220 | 471 | increased by251 |
| Mar 1, 2022 | AUM | $220,000,000 | $300,000,000 | increased by$80,000,000 |
| Mar 1, 2022 | Accounts | 220 | 331 | increased by111 |
| Dec 1, 2021 | Clients | 205 | 220 | increased by15 |
| Dec 1, 2021 | AUM | $170,000,000 | $220,000,000 | increased by$50,000,000 |
| Dec 1, 2021 | Accounts | 550 | 220 | decreased by330 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “MATHESON ROCK” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“MATHESON ROCK” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.