Matheson & Rock Wealth Management, Llc
- Regulatory AUM
- $530M
- Discretionary
- $530M
- Clients
- 428
- Avg AUM / client
- $1.2M
- Accounts
- 1,070
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Jan 08, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 265 | $149M | 28.1% |
| High net worth individuals | 160 | $335M | 63.2% |
| Banking or thrift institutions | 1 | $20.0M | 3.77% |
| Charitable organizations | 2 | $26.0M | 4.91% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Michael Allen Matheson | Member/Investment Advisor Representative | Oct 2017 (9y) | 25% – 50% | |
| John David Rock | Member/Investment Advisor Representative | Apr 2018 (8y) | 25% – 50% | |
| Delvecchio, Judy, Ann | Chief Compliance Officer/Member | Jan 2022 (5y) | 5% – 10% | |
| Rock, Dean, Allen | Owner | Jan 2022 (5y) | Less than 5% | |
| Luke Jennings | Registered representative | Jan 2025 (2y) |
Undisclosed: 0% – 45% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 01/08/2026 | 909 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Other fees
- • % OF PLAN ASSETS
Services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $480M (91% of AUM) Jan 2026
- Capital Group $17.0M (5% of AUM) Dec 2022
- Vanguard $3.6M (2% of AUM) Jan 2021
- Nationwide Financial $2.5M (1% of AUM) Dec 2022
- Lincoln Financial Group Trust Company, Inc. $800K (0% of AUM) Dec 2022
- Transamerica Trust Company $700K (0% of AUM) Dec 2022
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jan 08, 2026.
View current Form ADV (SEC/IAPD) ↗