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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

MATHEW CHRISTOPHER LEPAK

Advisor at FLAHARTY ASSET MANAGEMENT, LLC

PUNTA GORDA, FL | KANSAS CITY, MO | CLEARWATER, FL | Punta Gorda, FL

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Search this name across graphsid dfx:ria:c7700ad7-bafc-4af9-11a4-e320ca1228ca

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jun 27, 2003 to Sep 15, 2026

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

Current firm: FLAHARTY ASSET MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 27, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 2
Registered states: 3
Exams: S63|S66|S65
First exam: Oct 12, 2012
First registration: Jun 27, 2003
Dual registered: yes, broker-dealer
Other names: Mathew Christopher Lepak
IAPD individual key: 2606121

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MODERN WEALTH MANAGEMENT, LLC	Independent wealth	Jun 4, 2026	n/a	yes	PUNTA GORDA, FL\|KANSAS CITY, MO	Current employment
FLAHARTY ASSET MANAGEMENT, LLC	Independent wealth	Dec 14, 2020	n/a	yes	Punta Gorda, FL\|CLEARWATER, FL	Current employment
PRIVATE ADVISOR GROUP, LLC	Bd affiliated wealth	Aug 20, 2020	Dec 11, 2020	no	Punta Gorda, FL\|MORRISTOWN, NJ	Previous registration
MY FRIEND IN FINANCE, LLC	n/a	Feb 23, 2017	Aug 27, 2020	no	NOKOMIS, FL	Previous registration
CI DOYLE PRIVATE WEALTH, LLC	Former SEC adviser	Apr 5, 2016	Dec 14, 2016	no	ST. PETERSBURG, FL	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Nov 2, 2012	Feb 28, 2014	no	Venice, FL	Previous registration
T. ROWE PRICE ADVISORY SERVICES, INC.	Bd affiliated wealth	Mar 15, 2007	Jul 17, 2008	no	TAMPA, FL\|BOCA RATON, FL	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jun 27, 2003	Feb 1, 2006	no	VERO BEACH, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRIVATE ADVISOR GROUP, LLC	FLAHARTY ASSET MANAGEMENT, LLC	Dec 11, 2020	Dec 14, 2020	3	Firm change	Ibd to RIA
MY FRIEND IN FINANCE, LLC	PRIVATE ADVISOR GROUP, LLC	Aug 27, 2020	Aug 20, 2020	-7	Firm change	Other
CI DOYLE PRIVATE WEALTH, LLC	MY FRIEND IN FINANCE, LLC	Dec 14, 2016	Feb 23, 2017	71	Firm change	Other
CHARLES SCHWAB & CO., INC.	CI DOYLE PRIVATE WEALTH, LLC	Feb 28, 2014	Apr 5, 2016	767	Firm change after gap	Other
T. ROWE PRICE ADVISORY SERVICES, INC.	CHARLES SCHWAB & CO., INC.	Jul 17, 2008	Nov 2, 2012	1,569	Firm change after gap	Other
TD AMERITRADE, INC.	T. ROWE PRICE ADVISORY SERVICES, INC.	Feb 1, 2006	Mar 15, 2007	407	Firm change after gap	Other

Relationships

Registered with (8)

→ MODERN WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
Jun 4, 2026 to presentfactForm ADV
→ FLAHARTY ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
Dec 14, 2020 to presentfactForm ADV
→ PRIVATE ADVISOR GROUP, LLCRegistered adviserregistration: previous registration
Aug 20, 2020 to Dec 11, 2020factForm ADV
→ MY FRIEND IN FINANCE, LLCRegistered adviserregistration: previous registration
Feb 23, 2017 to Aug 27, 2020factForm ADV
→ CI DOYLE PRIVATE WEALTH, LLCRegistered adviserregistration: previous registration
Apr 5, 2016 to Dec 14, 2016factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Nov 2, 2012 to Feb 28, 2014factForm ADV
→ T. ROWE PRICE ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Mar 15, 2007 to Jul 17, 2008factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jun 27, 2003 to Feb 1, 2006factForm ADV

Dated events

No dated event names this entity yet.