Matheson & Rock Wealth Management, LLC

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Client assets under management

$484,000,000

Clients

425

38% high-net worth

Advisors

of 3 employees

Firm type

Team

4-10 advisors or $500M+ in AUM

Clients per advisor

142

Very High

Average account size

$1,138,824

About

Matheson & Rock Wealth Management is a fee-based investment adviser that serves individual and high‑net‑worth clients as well as retirement plans, offering asset management, ERISA 3(21) fiduciary services, and non‑discretionary management of variable annuity investments. The firm reports about $530 million in discretionary assets under management across roughly 425 client relationships.

Portfolios are typically managed on a discretionary basis and tailored to each client’s goals, time horizon and risk tolerance using fundamental analysis and a mix of long‑term, short‑term, trading and options strategies described in the ADV. Account reviews are performed at least quarterly, custodial and execution services are provided through Schwab Institutional, and the firm maintains a documented code of ethics and personal‑trade oversight.

Noteworthy aspects in the ADV include that the firm serves banking or thrift institutions, a client type that is uncommon among peer team firms, and that it owns a flow‑through entity (Beyer & Rock Investments) for broker/dealer business, a relationship the firm discloses and describes procedural mitigations for. The firm combines a relatively compact advisory team structure with institutional‑scale assets and formal ERISA plan services and custodial arrangements.

Client services

Portfolio management Pension consulting

Expertise

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k)

Fee options

Percentage

$0 - $499,999: 1.00% annually $500,000 - $749,999: 0.75% annually $750,000 - $1,999,999: 0.50% annually $2,000,000 - $4,999,999: 0.40% annually $5,000,000 - $7,499,999: 0.35% annually $7,500,000 - $9,999,999: 0.30% annually $10,000,000+: 0.25% annually

Other

Fee-only: Annual investment advisory fees based on assets under management as per tiered schedule above; fees billed quarterly in advance or arrears depending on account type; negotiable.

Main office location

Matheson & Rock Wealth Management, LLC

2322 E. Kimberly Road,, Suite 150 N

Davenport IA 52807, United States

Number of offices

Most active in

California · Florida · Illinois · Indiana · Iowa · Louisiana · Texas · Wisconsin

Disclosures

Business activities & affiliations

Is not active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure Form ADV Part 3: Client Relationship

Quick links

800-682-3937

Advisors at this firm

John R

Series 66

Davenport, IA

Matheson & Rock Wealth Management, LLC

John Rock is a financial advisor at Matheson & Rock Wealth Management, LLC in Davenport, IA, holding a Series 66 designation with nine years of industry experience. He has worked at several firms including Private Client Services and Sentry Insurance. Outside of his advisory role, he is involved with PRS 2322, LLC, a real estate ownership and bookkeeping business. Matheson & Rock Wealth Management serves individuals, high-net-worth clients, and qualified retirement plans, managing approximately $435 million across about 400 client relationships. The firm offers tailored investment programs and is notable for its ERISA 3(21) limited-scope fiduciary services to plan sponsors.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k)

Luke J

Series 65

Davenport, IA

Matheson & Rock Wealth Management, LLC

Luke Jennings is a financial advisor at Matheson & Rock Wealth Management, LLC with one year of industry experience. He holds a Series 65 designation and previously worked at the University of Iowa Hospitals before joining his current firm. Matheson & Rock Wealth Management serves individuals, high-net-worth clients, and qualified retirement plans, managing approximately $435 million across about 400 client relationships. The firm offers tailored investment programs based on fundamental analysis and provides specialized ERISA 3(21) limited-scope fiduciary services to plan sponsors.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k)

Michael M

Series 63, Series 65

Davenport, IA

Matheson & Rock Wealth Management, LLC

Michael Matheson is a financial advisor with Matheson & Rock Wealth Management, LLC in Davenport, IA. He holds Series 63 and Series 65 licenses and has 31 years of industry experience. His prior roles include positions at Private Client Services and Detalus Advisors, LLC. Outside of his advisory work, he is involved with PRS 2322, LLC, a real estate ownership and bookkeeping business. Matheson & Rock Wealth Management serves individuals, high-net-worth clients, and qualified retirement plans, managing approximately $435 million across about 400 client relationships. The firm offers tailored investment programs and provides portfolio management, variable annuity oversight, and ERISA plan services, including an ERISA 3(21) limited-scope fiduciary offering for plan sponsors.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k)

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