DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

MATHESON & ROCK WEALTH MANAGEMENT, LLC

CRD 289603

DAVENPORT, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b071f686-9e5e-89bd-87ad-2c99d406b0e2

Data as of Jan 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 4
On other graphs: 0
Observed: Feb 20, 2019 to Jan 8, 2026
14 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.91 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $530MItem 5.F on the latest filing (2026-01-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $530M
Private client RAUM: $484MderivedItem 5.D individuals plus high net worth individuals
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $177Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,070
Individual clients: 265
High net worth clients: 160
SEC number: 801-114867
CRD: 289603
Filings on the tape: 14
First filed: Feb 20, 2019
Latest filed: Jan 8, 2026
Organised: Limited Liability Company, IA

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
MICHAEL ALLEN MATHESON	n/a	DAVENPORT, IA	8	31	2	no
John David Rock	n/a	DAVENPORT, IA	8	10	1	no
Luke Jennings	n/a	DAVENPORT, IA	1	11	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DELVECCHIO, JUDY, ANN	CHIEF COMPLIANCE OFFICER/MEMBER	A	yes	01/2022	Feb 14, 2022	Jan 9, 2024
MATHESON, MICHAEL, ALLEN	MEMBER/INVESTMENT ADVISOR REPRESENTATIVE	C	yes	01/2022	Feb 20, 2019	Jan 9, 2024
Rock, John, David	MEMBER/INVESTMENT ADVISOR REPRESENTATIVE	C	yes	01/2022	Feb 14, 2022	Jan 9, 2024
ROCK, DEAN, ALLEN	Owner	Na	no	01/2022	Feb 20, 2019	Jan 9, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2025	Jan 8, 2026	$530M	$530M	3	3	n/a	n/a
2024	Jan 20, 2025	$435M	$330M	3	3	n/a	n/a
2023	Jan 9, 2024	$386M	$286M	2	2	n/a	n/a
2022	Jan 24, 2023	$340M	$246M	2	2	n/a	n/a
2021	Feb 14, 2022	$300M	$203M	2	2	n/a	n/a
2020	Jan 20, 2021	$170M	$0	2	2	n/a	n/a
2019	Jan 10, 2020	$142M	$0	3	3	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$530M	$435M	21.8%	$340M	15.9%	3	3	0	0

Relationships

Registered with (4)

← Luke JenningsAdvisorregistration: current employment
Jan 20, 2025 to presentfactForm ADV
← John David RockAdvisorregistration: current employment
Apr 5, 2018 to presentfactForm ADV
← MICHAEL ALLEN MATHESONAdvisorregistration: current employment
Oct 17, 2017 to presentfactForm ADV
← Harrison Taylor WallaceAdvisorregistration: previous registration
Jan 10, 2020 to Jun 19, 2020factForm ADV

Controls (3)

← MATHESON, MICHAEL, ALLENOwnerMEMBER/INVESTMENT ADVISOR REPRESENTATIVE, ownership code C, individual
Feb 20, 2019 to Jan 9, 2024factForm ADV
← DELVECCHIO, JUDY, ANNOwnerCHIEF COMPLIANCE OFFICER/MEMBER, ownership code A, individual
Feb 14, 2022 to Jan 9, 2024factForm ADV
← Rock, John, DavidOwnerMEMBER/INVESTMENT ADVISOR REPRESENTATIVE, ownership code C, individual
Feb 14, 2022 to Jan 9, 2024factForm ADV

Owns (1)

← ROCK, DEAN, ALLENOwnerOWNER, ownership code NA, individual
Feb 20, 2019 to Jan 9, 2024factForm ADV

Dated events

Occurred
Feb 14, 2022
Control person joined
Ann Judy Delvecchio (Chief Compliance Officer/Member) appeared on Schedule A of Matheson & Rock Wealth Management, Llc
Form ADVobserved 5 days ago
Occurred
Feb 14, 2022
Control person joined
David John Rock (Member/Investment Advisor Representative) appeared on Schedule A of Matheson & Rock Wealth Management, Llc
Form ADVobserved 5 days ago
Occurred
Nov 5, 2021
Control person left
John Kerry Beyer (Managing Member) no longer on Schedule A of Matheson & Rock Wealth Management, Llc (listed 2021-01-20, absent 2021-11-05)
Form ADVobserved 5 days ago
Occurred
Feb 20, 2019
First Form ADV filing
Beyer & Rock Advisory Group, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b071f686-9e5e-89bd-87ad-2c99d406b0e2
First observed: Feb 20, 2019
Last observed: Jan 8, 2026 8 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MATHESON & ROCK WEALTH MANAGEMENT, LLC

CRD 289603

DAVENPORT, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b071f686-9e5e-89bd-87ad-2c99d406b0e2

Data as of Jan 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:04 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MICHAEL ALLEN MATHESON

n/a

DAVENPORT, IA

John David Rock

n/a

DAVENPORT, IA

Luke Jennings

n/a

DAVENPORT, IA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DELVECCHIO, JUDY, ANN

CHIEF COMPLIANCE OFFICER/MEMBER

yes

01/2022

Feb 14, 2022

Jan 9, 2024

MATHESON, MICHAEL, ALLEN

MEMBER/INVESTMENT ADVISOR REPRESENTATIVE

yes

01/2022

Feb 20, 2019

Jan 9, 2024

Rock, John, David

MEMBER/INVESTMENT ADVISOR REPRESENTATIVE

yes

01/2022

Feb 14, 2022

Jan 9, 2024

ROCK, DEAN, ALLEN

Owner

01/2022

Feb 20, 2019

Jan 9, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Jan 8, 2026

$530M

n/a

2024

Jan 20, 2025

$435M

$330M

n/a

2023

Jan 9, 2024

$386M

$286M

n/a

2022

Jan 24, 2023

$340M

$246M

n/a

2021

Feb 14, 2022

$300M

$203M

n/a

2020

Jan 20, 2021

$170M

n/a

2019

Jan 10, 2020

$142M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$530M

$435M

21.8%

$340M

15.9%