DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Matheson & Rock Wealth Management, LLC
Latest filing Jan 8, 2026
First filing on the tape Feb 20, 2019 · 14 filings
SEC status approved since Mar 25, 2019
RAUM
$530M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$484M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$177M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$530M as of Jan 8, 2026
Jan 10, 2020$142M then
HNW client RAUM$335M as of Jan 8, 2026
Jan 10, 2020$100M then
State-registered IARs (5.B.3)3 as of Jan 8, 2026
Jan 10, 20202 then
Employees (5.A)3 as of Jan 8, 2026
Jan 10, 20203 then
Private funds: no history
RAUM +22% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 8, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $177MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 142derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $495,327derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.3%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$335M63%
- Individuals$149M28%
- Charitable organizations$26.0M4.9%
- Banks and thrifts$20.0M3.8%
- Individual clients
- 265reported
- HNW clients
- 160reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 1,070reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Allen Matheson | Davenport, Ia | Oct 17, 2017 | 31 y | 2 |
| John David Rock | Davenport, Ia | Apr 5, 2018 | 10 y | 1 |
| Luke Jennings | Davenport, Ia | Jan 20, 2025 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Harrison Taylor Wallace to Belpointe Asset Management LLCJun 19, 2020 · RIA to RIA
Joined, latest
- John David Rock from Detalus Advisors, LLCApr 5, 2018 · Other
- Michael Allen Matheson from Detalus Advisors, LLCOct 17, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ann Judy Delvecchio · Chief Compliance Officer/Membercontrolsince 01/2022 · owns 5% to 10%
- Allen Michael Matheson · Member/Investment Advisor Representativecontrolsince 01/2022 · owns 25% to 50%
- David John Rock · Member/Investment Advisor Representativecontrolsince 01/2022 · owns 25% to 50%
- Allen Dean Rock · Ownersince 01/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Davenport, Ia · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Jan 8, 2026discretionary share of RAUM moved from 76.0% to 100.0% between the annual amendments of 2025-01-20 and 2026-01-08peers: independent wealth managers, $500M to $1B (1,483)
What changed
consecutive filings, newest first
- Accounts · 1,022 to 1,070Jan 20, 2025 to Jan 8, 2026
- BD registered reps · 1 to 0Jan 20, 2025 to Jan 8, 2026
- HNW clients · 140 to 160Jan 20, 2025 to Jan 8, 2026
- Individual clients · 260 to 265Jan 20, 2025 to Jan 8, 2026
- Discretionary RAUM · $330M to $530MJan 20, 2025 to Jan 8, 2026
- HNW RAUM · $280M to $335MJan 20, 2025 to Jan 8, 2026
- Individual RAUM · $120M to $149MJan 20, 2025 to Jan 8, 2026
- Non-discretionary RAUM · $105M to $0Jan 20, 2025 to Jan 8, 2026
- RAUM · $435M to $530MJan 20, 2025 to Jan 8, 2026
- Accounts · 957 to 1,022Jan 9, 2024 to Jan 20, 2025
- Advisory employees · 2 to 3Jan 9, 2024 to Jan 20, 2025
- HNW clients · 117 to 140Jan 9, 2024 to Jan 20, 2025
- Employees · 2 to 3Jan 9, 2024 to Jan 20, 2025
- Financial planning clients · unset to Jan 9, 2024 to Jan 20, 2025
- State-registered IARs · 2 to 3Jan 9, 2024 to Jan 20, 2025
- Discretionary RAUM · $286M to $330MJan 9, 2024 to Jan 20, 2025
- HNW RAUM · $253M to $280MJan 9, 2024 to Jan 20, 2025
- Individual RAUM · $100M to $120MJan 9, 2024 to Jan 20, 2025
- Non-discretionary RAUM · $100M to $105MJan 9, 2024 to Jan 20, 2025
- RAUM · $386M to $435MJan 9, 2024 to Jan 20, 2025
- Accounts · 907 to 957Sep 22, 2023 to Jan 9, 2024
- Discretionary RAUM · $246M to $286MSep 22, 2023 to Jan 9, 2024
- HNW RAUM · $214M to $253MSep 22, 2023 to Jan 9, 2024
- Individual RAUM · $93.0M to $100MSep 22, 2023 to Jan 9, 2024
- Non-discretionary RAUM · $94.0M to $100MSep 22, 2023 to Jan 9, 2024
- RAUM · $340M to $386MSep 22, 2023 to Jan 9, 2024
- Accounts · 886 to 907Dec 2, 2022 to Jan 24, 2023
- HNW clients · 99 to 117Dec 2, 2022 to Jan 24, 2023
- Individual clients · 250 to 260Dec 2, 2022 to Jan 24, 2023
- Discretionary RAUM · $245M to $246MDec 2, 2022 to Jan 24, 2023
- HNW RAUM · $203M to $214MDec 2, 2022 to Jan 24, 2023
- Individual RAUM · $85.0M to $93.0MDec 2, 2022 to Jan 24, 2023
- Non-discretionary RAUM · $74.0M to $94.0MDec 2, 2022 to Jan 24, 2023
- RAUM · $319M to $340MDec 2, 2022 to Jan 24, 2023
- Accounts · 331 to 886Feb 14, 2022 to Dec 2, 2022
- BD registered reps · 2 to 1Feb 14, 2022 to Dec 2, 2022
- Charity clients · 0 to 2Feb 14, 2022 to Dec 2, 2022
- HNW clients · 140 to 99Feb 14, 2022 to Dec 2, 2022
- Individual clients · 330 to 250Feb 14, 2022 to Dec 2, 2022
- Discretionary RAUM · $203M to $245MFeb 14, 2022 to Dec 2, 2022
Signals
4 dated events
- Ann Judy Delvecchio (Chief Compliance Officer/Member) appeared on Schedule A of Matheson & Rock Wealth Management, LlcFeb 14, 2022 · Control person joined · fact
- David John Rock (Member/Investment Advisor Representative) appeared on Schedule A of Matheson & Rock Wealth Management, LlcFeb 14, 2022 · Control person joined · fact
- John Kerry Beyer (Managing Member) no longer on Schedule A of Matheson & Rock Wealth Management, Llc (listed 2021-01-20, absent 2021-11-05)Nov 5, 2021 · Control person left · inference
- Beyer & Rock Advisory Group, Llc filed its initial SEC registration (Form ADV)Feb 20, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 800-682-3937reportedpublic record, Form ADV, Jan 8, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $177Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026