SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
The Mathes Company, Inc.
New York, NY
CRD 109288
Firm filing updated March 20, 2026 ·
- $339.8MAssets
- 210Clients
- 5Advisory staff
- 210Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals210
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | 210 | $339.8 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for individuals and/or small businesses
Assets and accounts
- Regulatory assets$339.8 million
- Accounts210
- DiscretionaryAll accounts
People
- Employees8
- Advisory staff5
- Broker-dealer reps0
- Licensed insurance agents0
Registration details
- SEC-registered investment advisor. CRD 109288, SEC file 801-54747.
- Registered with the SEC as an investment advisor (status date on record: July 31, 1997).
Is The Mathes Company, Inc. a fiduciary?
Short answer: The Mathes Company, Inc. is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.