Matt specializes in comprehensive wealth management for individuals, families and business owners. This includes, but is not limited to, investment strategies, 401(k) and retirement plans, disability income insurance, life insurance, long-term care insurance, charitable gifting strategies, estate conservation, and business succession planning. Matt has over 20 years of experience in the financial services profession.
Matt is a CERTIFIED FINANCIAL PLANNER™ professional (CFP®), Chartered Life Underwriter (CLU®) for special knowledge in risk management, and Chartered Financial Consultant (ChFC®). He has passed the Financial Industry Regulation Authority (FINRA) Series 7, 63 & 65 exams. Matt is also insurance licensed in OR, CA, WA, AZ, TX, IN, NM, AR, MI, ME, OH, FL, & KY.
Certified Financial Planner Board of Standards Inc. owns the certification marks CFP,CERTIFIED FINANCIAL PLANNER and federally registered CFP® (with flame design) in the U.S., which it awards to individuals who successfully complete CFP® Board's initial and ongoing certification requirements.
Securities offered through 1st Global Capital Corp. Member FINRA, SIPC
Investment advisory services offered through 1st Global Advisors, Inc.
Insurance services offered through 1st Global Insurance Services, Inc.
Matt is licensed to offer securities in AZ, AR, CA, CO, HI, IL, IN, MT, NC, OR, WA. This is not an offer to sell securities in any other state or jurisdiction.
Financial Advisory Services
Our expertise is in utilizing integrated tax & investment strategy to spot strategic opportunities for both your business and for you as an individual.
Chances are you have had changes in your life since you last reviewed your investment portfolio, and the investment strategy that once was adequate for the future you had in mind may no longer be appropriate. As your financial goals and needs change, your investment strategy may need to change to meet those goals and needs.
Remember that your investments affect other elements of your financial plan such as estate planning, education planning, and retirement planning. Securities offered through 1st Global Capital Corp., Member FINRA, SIPC. Investment Advisory services offered through 1st Global Advisors, Inc. Jones & Roth has representatives licensed in AZ, CA, CO, FL, GA, HI, IL, IN, MA, MT, NC, NV, OH, OR, TX, UT, WA & WY. This is not an offer to sell securities in any other state or jurisdiction.
No cookie cutter approach
You may look forward to retirement as a time to savor the finer things in life, and as a reward for many years of hard work.
Retirement dreams can inspire you, but you need to set goals if your retirement is to live up to your aspirations.
We can help you start addressing the challenges planning for your retirement holds. We can analyze your current retirement plan and help make sure you are working steadily towards your goals.
|Firm Start Year:||2002|
|No. of Employees:||5-9|
|Name of Broker/Dealer:||Avantax Investment Services|
|Name of Custodial Firm:||National Financial Services|
|Number of Years with Current Firm:||8|
|Work Experience:||I earned the CERTIFIED FINANCIAL PLANNER™ designation in 2004.|
|Work with the following types of clients:||Businesses, Individual Investors, Non-Profit Organizations|
|Advisory Services Provided:||Money Management, Financial Planning for Individuals, Financial Planning for Businesses, Financial Advice & Consulting, Investment Advice & Management, Retirement Planning, Portfolio Management, Financial Planning|
|Investment Types:||Insurance, Annuities, Stocks, Bonds, Mutual Funds, Alternative Investments, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)|
|Can meet clients in the following ways:||Your Home, Phone, Email, Your Office, Our Office, Video Conference|
Qualifications & Memberships
|Insurance and Annuity Licenses:||Disability, Annuity, Long Term Care, Life, Variable Life, Variable Annuity|
|Financial Organization Memberships:||Financial Planning Association (FPA)|
|Firm's Number of Clients:||200_|
|Advisor's Number of Planning Clients:||50|
|Assets Managed by Advisor:||$125,000,000|
Compensation and Fees
|Compensation Methods:||Based on Assets, Flat Fee, Commissions|
|Fee % Based on Assets:||1% - 1.25|
|Additional Details on Charges:||
Financial Planning fees start at $500
Investment advisory Fee ranges from 1% to 1.25%
If a commission based solution is used, it is fully disclosed and no fee is charged on the account.
|Financial Advice & Consulting
At our initial meeting there is no cost. We use this time to make sure our services are in line with your goals. Are we a good fit? If yes, we move to the planning stage.
|Financial Planning for Individuals
I offer comprehensive Method 10 planning. 1)Investment 2) Tax 3) Asset Protection 4) Retirement 5) Business 6) Estate 7) Insurance 8) Education 9) Special situations 10) Debt. You will be provided an analysis of current situation, recommendations and monitoring on progress.
|Financial Planning for Businesses
I service many business owners, helping with retirement plans, business succession and transition to retirement.
I will create a personal investment strategy built around your unique goals, time horizon and tolerance for market volatility. A written Investment Policy Statement that establishes guidelines on how your portfolio will be managed.
Review available resources for retirement income, to include social security, pensions, other income sources and retirement plans to develop a secure retirement
Before a rollover; review available plans for appropriateness of a rollover. If a rollover is recommended I can facilitate the rollover to keep tax deferred and/or tax free status
|Investment Management & Advice
I will make client's aware of best options available considering, costs, taxes, diversification and transparency. At different points investments in individual stocks and bonds, mutual funds and exchange traded funds depending on the situation. On some occasions REITs and annuities are recommended when appropriate.
Provide direction on money management tools and direction on how to live on less than you make, and invest the difference. Addressing debt management issues and balancing above goals with the need to pay these obligations.
Do you have a customer satisfaction or refund policy?
For financial plans a client can cancel at any time.
Why should I choose you as my financial advisor?
Certified Financial Planner practitioner for 16 years.
What are your qualifications? What is your education background?
The Certified Financial Planner Board of Standards outlines the process as follows:
How do you charge for your services?
Fees. In limited scope there are some situations that I earn a commissions.
How are you compensated? How will I pay for your services?
My client's pay me through fees. In a small percentage of client relationships I do earn a commission. These are limited typically to a solution that is only available in that relationship. Examples insurance or real estate. It is fully disclosed to client before the transactions in those instances where it occurs.
WiserAdvisor provides referrals to financial professionals. WiserAdvisor is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for WiserAdvisor to make these referrals, resulting in a conflict of interest.
Additional Detailed Disclosures
Investment Advisor Representative:
Compliance Disclosures in Last 5 years:
Have a clean record
Criminal Disclosures in Last 5 years:
Have a clean record
|Mon.||8:00 AM - 5:00 PM|
|Tue.||8:00 AM - 5:00 PM|
|Wed.||8:00 AM - 5:00 PM|
|Thu.||8:00 AM - 5:00 PM|
|Fri.||8:00 AM - 5:00 PM|