Matheson & Rock Wealth Management, LLC

Matheson & Rock Wealth Management, LLC, founded in 2017, is a fee-based investment management firm owned by Michael Matheson (47%), John Rock (47%), Judy DelVecchio (5%), and Dean Rock (1%). The firm offers asset management services with clients making final investment decisions and does not act as a custodian of client assets. They provide tailored services based on client goals and may impose restrictions on investments. Matheson & Rock does not sponsor wrap fee programs and had $330 million in discretionary assets and $105 million in non-discretionary assets as of December 31, 2024. For asset management, fees are charged based on a tiered schedule ranging from 0.25% to 1.00% annually, billed quarterly. The firm also offers ERISA plan services with fees based on total plan assets. John Rock, a registered representative of Private Client Services, LLC, receives external compensation for securities sales but does not charge advisory fees for these services. The firm does not use performance-based fees to avoid conflicts of interest. Matheson & Rock generally advises individuals, high net worth individuals, and ERISA plans, with no minimum account size required. Their investment strategies include fundamental analysis, with a focus on managing risks associated with market, interest rate, inflation, currency, and other factors. Clients receive quarterly account statements and have the option to terminate services with written notice. Matheson & Rock does not vote proxies on client securities. The firm has no disciplinary history or financial conditions impairing its ability to meet client commitments. Supervised by Judy DelVecchio, the firm maintains a Code of Ethics to ensure client interests are prioritized. John Rock, also a registered representative, receives commissions on securities sold.