# Matheson & Rock Wealth Management, LLC

> Matheson & Rock Wealth Management, LLC is an SEC-registered investment advisory firm in Davenport, IA, registered since 2019, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated January 8, 2026.

- CRD: 289603
- Filed as: MATHESON & ROCK WEALTH MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Davenport, IA
- Filing period: October 2026
- Form ADV filing dated: January 8, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/289603
- AdvisorCensus page: https://advisorcensus.com/firm/matheson-and-rock-wealth-management-llc-davenport-ia-289603

## Quick answers

**How is Matheson & Rock Wealth Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Matheson & Rock Wealth Management, LLC reports these compensation arrangements: a percentage of assets under its management; other.

**Where is Matheson & Rock Wealth Management, LLC located?**
Matheson & Rock Wealth Management, LLC's principal office is in Davenport, IA, according to its Form ADV.

**Is Matheson & Rock Wealth Management, LLC registered with the SEC or a state?**
Matheson & Rock Wealth Management, LLC is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 289603.

**How much does Matheson & Rock Wealth Management, LLC manage?**
Matheson & Rock Wealth Management, LLC reports $530,000,000 in regulatory assets under management in its Form ADV filing dated January 8, 2026 (100% discretionary).

**How have Matheson & Rock Wealth Management, LLC's assets and staff changed since 2021?**
In the Form ADV data for Matheson & Rock Wealth Management, LLC: Regulatory assets under management: $170,000,000 in the October 2021 data and $530,000,000 in the October 2026 data, up 212%. Total employees: 2 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Matheson & Rock Wealth Management, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (265); high net worth individuals (160); charitable organizations (2).

**Which custodians does Matheson & Rock Wealth Management, LLC use?**
Matheson & Rock Wealth Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Matheson & Rock Wealth Management, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/289603

**Does Matheson & Rock Wealth Management, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated January 8, 2026 says: "Matheson & Rock does not require a minimum to open an account."

**What changed in Matheson & Rock Wealth Management, LLC's recent Form ADV filings?**
In the February 2026 filing data: Regulatory assets under management went from $435,000,000 to $530,000,000 (+22%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Other

### Fees and minimums (Form ADV Part 2A brochure dated January 8, 2026)

- Account minimum: None

> Matheson & Rock does not require a minimum to open an account.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $530,000,000
- Discretionary: $530,000,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 265 | $149,000,000 |
| High net worth individuals | 160 | $335,000,000 |
| Banking or thrift institutions | 1 | $20,000,000 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 2 | $26,000,000 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Pension consulting services

### Firm details
- Registered since: 2019 (7 years)
- Employees: 3 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, FL, IA, IL, IN, LA, TX, WI
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $170,000,000 | 2 | January 20, 2021 |
| October 2022 | $300,000,000 | 2 | February 14, 2022 |
| October 2023 | $340,000,000 | 2 | September 22, 2023 |
| October 2024 | $386,000,000 | 2 | January 9, 2024 |
| October 2025 | $435,000,000 | 3 | January 20, 2025 |
| October 2026 | $530,000,000 | 3 | January 8, 2026 |

Regulatory assets under management: $170,000,000 in the October 2021 data and $530,000,000 in the October 2026 data, up 212%.
Total employees: 2 in October 2021 and 3 in October 2026.

## Changes in the filing (last 12 months)

### February 2026
- Regulatory assets under management went from $435,000,000 to $530,000,000 (+22%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Matheson & Rock Wealth Management, LLC (CRD 289603): Form ADV filing data as of October 2026.