{"url":"https://nivawealth.com/firms/matheson-and-rock-wealth-management-289603","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/289603","regulatoryAum":530000000,"crd":"289603","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7473222","suffix":null,"lastName":"Jennings","firstName":"Luke","middleName":null},{"crd":"2553786","suffix":null,"lastName":"MATHESON","firstName":"MICHAEL","middleName":"ALLEN"},{"crd":"6649818","suffix":null,"lastName":"Rock","firstName":"John","middleName":"David"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-01-20","regulatoryAum":170000000,"clients":205,"employees":2,"offices":1},{"filedOn":"2022-02-14","regulatoryAum":300000000,"clients":471,"employees":2,"offices":1},{"filedOn":"2023-01-24","regulatoryAum":340000000,"clients":380,"employees":2,"offices":1},{"filedOn":"2024-01-09","regulatoryAum":386000000,"clients":380,"employees":2,"offices":1},{"filedOn":"2025-01-20","regulatoryAum":435000000,"clients":403,"employees":3,"offices":1},{"filedOn":"2026-01-08","regulatoryAum":530000000,"clients":428,"employees":3,"offices":1}],"secFileNumber":"801-114867","legalName":"Matheson & Rock Wealth Management, LLC","displayName":"Matheson & Rock Wealth Management","slug":"matheson-and-rock-wealth-management-289603","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2017","organization":"Iowa limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2322 E. Kimberly Road,, Suite 150n","city":"Davenport","state":"IA","stateName":"Iowa","country":"United States","postalCode":"52807"},"tradeNames":[],"registration":{"secApproved":"25 March 2019","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1138823.5294117648,"staff":{"employees":3,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":530000000,"discretionary":530000000,"discretionaryAccounts":1070,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":265,"regulatoryAum":149000000},{"label":"High-net-worth individuals","clients":160,"regulatoryAum":335000000},{"label":"Banking or thrift institutions","clients":1,"fewerThan5":true,"regulatoryAum":20000000},{"label":"Charitable organizations","clients":2,"fewerThan5":true,"regulatoryAum":26000000}],"feePrograms":[{"role":"main","program":"Asset Management","feeBasis":"whole_balance","fee_tiers":[{"to":500000,"pct":1,"from":0},{"to":750000,"pct":0.75,"from":500000},{"to":2000000,"pct":0.5,"from":750000},{"to":5000000,"pct":0.4,"from":2000000},{"to":7500000,"pct":0.35,"from":5000000},{"to":10000000,"pct":0.3,"from":7500000},{"to":null,"pct":0.25,"from":10000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1000654","versionId":1000654,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-01-08","documentName":"FORM ADV PART 2A & 2B","fee_rate_low":0.25,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"ERISA Plan Services","summary":"Annual fee on total plan assets follows the same tiered schedule, from 1.00% on the first $499,999 down to 0.25% over $10,000,000, and is negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1000654","versionId":1000654,"submittedOn":"2026-01-08","documentName":"FORM ADV PART 2A & 2B"},{"role":"other","program":"Variable Annuity Management","summary":"Fees for variable annuity accounts are a percentage of assets under management and will not exceed 0.50%.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1000654","versionId":1000654,"submittedOn":"2026-01-08","documentName":"FORM ADV PART 2A & 2B"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T10:22:57.156165+00:00","documents":[{"name":"FORM ADV PART 2A & 2B","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1000654","versionId":1000654,"submittedOn":"2026-01-08"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":480000000}],"custodyNote":"Matheson & Rock Wealth Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Judy Delvecchio","title":"Chief Compliance Officer/Member","crd":"6504253"},{"name":"Michael Matheson","title":"Member/Investment Advisor Representative","crd":"2553786"},{"name":"John Rock","title":"Member/Investment Advisor Representative","crd":"6649818"},{"name":"Dean Rock","title":"Owner","crd":"727687"}],"ownership":[{"label":"Michael Matheson","detail":"Member/investment advisor representative in the 25% to 50% ownership band and a control person, since January 2022."},{"label":"John Rock","detail":"Member/investment advisor representative in the 25% to 50% ownership band and a control person, since January 2022."},{"label":"Judy Delvecchio","detail":"Chief compliance officer/member in the 5% to 10% ownership band and a control person, since January 2022."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Iowa","offices":1,"addresses":[{"street":"2322 E. Kimberly Road,, Suite 150n","city":"Davenport","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"800-682-3937","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Other"],"activities":["Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":34},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":56},{"label":"Cash and cash equivalents","percent":1},{"label":"Other","percent":6,"detail":"Variable Annuities Through Nationwide"}],"privateFunds":0},"sources":{"adv1FilingDate":"8 January 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/289603/PDF/289603.pdf","brochureDate":"8 January 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1000654","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Matheson & Rock Wealth Management have?","answer":"Matheson & Rock Wealth Management has 428 clients and manages $530 million for them, as of January 2026. They include 265 individual clients, 160 high-net-worth individuals and 2 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 8 January 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Matheson & Rock Wealth Management offer?","answer":"Matheson & Rock Wealth Management provides portfolio management for individuals and small businesses and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Matheson & Rock Wealth Management charge?","answer":"Matheson & Rock Wealth Management charges 0.25%–1.00% a year for its Asset Management. The whole portfolio is charged at the rate of its band. The fee is billed in advance and is negotiable.","source":"FORM ADV PART 2A & 2B, filed 8 January 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Matheson & Rock Wealth Management use?","answer":"Matheson & Rock Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $480M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 8 January 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Matheson & Rock Wealth Management have?","answer":"Matheson & Rock Wealth Management has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Matheson & Rock Wealth Management invest in?","answer":"At the end of its last fiscal year, Matheson & Rock Wealth Management’s separately managed accounts held 56% registered funds (mutual funds, ETFs, BDCs), 34% exchange-traded equities, 6% other, 2% U.S. government and agency bonds, 1% state and local bonds and 1% cash and equivalents. The 6% other category is described as: Variable Annuities Through Nationwide.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Matheson & Rock Wealth Management?","answer":"Matheson & Rock Wealth Management’s direct owners are Michael Matheson, John Rock and Judy Delvecchio, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 8 January 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Matheson & Rock Wealth Management get paid?","answer":"Matheson & Rock Wealth Management is paid through a percentage of assets under management and other compensation. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Matheson & Rock Wealth Management?","answer":"Matheson & Rock Wealth Management’s main office is at 2322 E. Kimberly Road,, Suite 150n, Davenport, IA 52807. Its phone number is 800-682-3937.","source":"Form ADV Part 1A, Item 1.F, filed 8 January 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}