AdvisorCensus / Financial advisors / New York / New York / The Mathes Company, Inc.
The Mathes Company, Inc. is an SEC-registered investment advisory firm in New York, NY, registered since 1997, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 20, 2026.
Quick answers
From the filingHow is The Mathes Company, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), The Mathes Company, Inc. reports these compensation arrangements: a percentage of assets under its management.
How much does The Mathes Company, Inc. charge?
Its Form ADV Part 2A brochure dated March 20, 2026 states: Asset-based fee: 1.25% of assets a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is The Mathes Company, Inc. located?
The Mathes Company, Inc.'s principal office is in New York, NY, according to its Form ADV.
Is The Mathes Company, Inc. registered with the SEC or a state?
The Mathes Company, Inc. is an SEC-registered investment advisory firm, registered since 1997. Status as filed: Approved. CRD 109288.
How much does The Mathes Company, Inc. manage?
The Mathes Company, Inc. reports $339,797,197 in regulatory assets under management in its Form ADV filing dated March 20, 2026 (100% discretionary).
How have The Mathes Company, Inc.'s assets and staff changed since 2021?
In the Form ADV data for The Mathes Company, Inc.: Regulatory assets under management: $297,346,909 in the October 2021 data and $339,797,197 in the October 2026 data, up 14%. Total employees: 8 in October 2021 and 8 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does The Mathes Company, Inc. serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (210).
Does The Mathes Company, Inc. 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/109288
Does The Mathes Company, Inc. state an account minimum?
Its Form ADV Part 2A brochure dated March 20, 2026 says: "Minimum account size for opening an account with the Adviser is generally $500,000.00"
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAsset-based fee: 1.25% of assets a year
The brochure's wording
Adviser is compensated for its advisory services by a percentage of assets under management. The basic fee schedule is 1.25%
Fees can be negotiable if client has an account that is lightly managed. For example, if the account is solely fixed income the fee may be reduced.
Account minimum: $500,000
The brochure's wording
Minimum account size for opening an account with the Adviser is generally $500,000.00
As stated in the firm's Form ADV Part 2A brochure dated March 20, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$339,797,197 as of October 2026, filing dated March 20, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 1997 (29 years)
- Employees
- Total: 8. Performing investment advisory functions: 5.
- Wrap fee program participation
- No.
- States registered or notice-filed
- Not reported.
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $339,797,197 | 8 | March 20, 2026 |
| October 2025 | $336,771,153 | 8 | March 26, 2025 |
| October 2024 | $296,286,626 | 8 | March 19, 2024 |
| October 2023 | $251,222,573 | 8 | March 17, 2023 |
| October 2022 | $342,988,474 | 8 | March 28, 2022 |
| October 2021 | $297,346,909 | 8 | February 17, 2021 |
Regulatory assets under management: $297,346,909 in the October 2021 data and $339,797,197 in the October 2026 data, up 14%.
Total employees: 8 in October 2021 and 8 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 monthsNo changes to these filed facts in the last 12 months of filing data.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. The Mathes Company, Inc. (CRD 109288): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/the-mathes-company-inc-new-york-ny-109288