MS
Matthew W. Schlaepfer
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CRD#: 1271417
MS
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Matthew Woodley Schlaepfer, ChFC®, CLU®, who also goes by Matt Schlaepfer, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1984. Matthew had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Matt Schlaepfer
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Matthew Schaepfer is dually-registered as an investment advisor representative with Alera Investment Advisors, LLC ("Alera" - since 11/2017) and as a Registered Representative with Triad Advisors, Inc. (Triad" - since 11/2017) also doing business as GCG Financial. Business is conducted from 7807 E. Peakview Ave., Suite 250, Greenwood Village, CO 80111. Approximately 90% of Mr. Schaepfer's time is for services as an investment advisor representative and the balance as a registered representative. Alera and Triad are not affiliated. 2) GCG Financial;investment related;Same Address;fixed business;broker;10/1992;varies;varies;provide fixed business products to clients-ltc,property casualty ins,disability insurance,group benefits 3) Alera Group;not investment related;7807 East Peakview Ave,Greenwood Village,CO 80111;fixed insurance;salesperson;1/2017;5 hrs/month;5 hrs during trading;salesperson 4) PM Winter Park,LLC;investment related;5490 Nuthatch Rd,Parker,CO 80134;real estate holding company;owner;6/2012;4 hrs/month;0 hrs during trading;manage selling of property to development company,pay HOA and real estate taxes 5) PMWP Development;investment related;5490 Nuthatch Rd,Parker,CO 80134;owner;6/2012;4 hrs/month;0 hrs during trading;managing partner-site inspection,occasional meeting with developer 6) Belpar;investment related;5490 Nuthatch Rd,Parker,CO 80134;cattle business;owner/partner;7/1/2017;2 hrs/month;0 hrs during trading;owner/partner 7) MWSBJS,LLC;not investment related;5490 Nuthatch Rd;owns rental property that daughter lives in;member;1/1/2019;2 hrs/month;0 hrs during trading;pay mortgage and HOA,collect rent 8)Michigan Ohio State,LLC;not investment related;8714 E Pawnee Rd,Parker,CO 80134;rental property;member;1/1/2019;0 hrs/month;0 hrs during trading;own property with my sister,she manages all the duties 9)Shlep4 Holdings LLC;not investment related;5490 Nuthatch Rd,Parker,CO 80134;to acquire,own,hold,sell transfer investments and to lend and borrow money in connection therein;member;7/1/2020;2 hrs/month;0 hrs during trading;invest in old cars,buy equipment and lease back to ranch/farmer,loan money to individuals with three year simple interest @ 5%; 10)Alera Group;investment related;Three Parkway North,Suite 500,Deerfield,IL 60015;corporation and parent company for the Alera affiliates;executive VP;1/1/2000;160 hrs/month;6.5 hrs during trading;financial professional for Alera Group,which operates under dba names Alera Group Wealth Services and Alera Group Retirement Plan Services
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Past
November 2, 2017 - October 10, 2023
ALERA INVESTMENT ADVISORS, LLC
RIA
CRD#: 287906
Greenwood Village, CO
Past
November 2, 2017 - October 13, 2023
TRIAD ADVISORS LLC
BD
CRD#: 25803
Greenwood Village, CO
Past
April 1, 1999 - November 2, 2017
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
GREENWOOD VILLAGE, CO
Past
November 9, 1992 - November 2, 2017
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
GREENWOOD VILLAGE, CO
Past
September 11, 1991 - October 7, 1992
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
July 12, 1991 - September 12, 1991
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
September 17, 1984 - August 2, 1991
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AI
ALERA INVESTMENT ADVISORS, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WILSON ALBERS | WATERFORD GROUP | WALSH & NICHOLSON | TRINITY ADVISORS GROUP | THE ASCENT GROUP | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | STRATEGIC RETIREMENT PLAN CONSULTANTS | JA COUNTER | DOROSHOW INSURANCE | CSNW BENEFITS | BRIO BENEFITS | BCG 401K ADVISORS | ARISTA CONSULTING | AMCORP | ALERA INVESTMENT ADVISORS, LLC | ALERA GROUP WEALTH SERVICES
CRD#: 287906 / SEC#: 801-111892
RIA
Registered Investment Advisory firm - (10/26/2017 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
AI
ALERA INVESTMENT ADVISORS, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WILSON ALBERS | WATERFORD GROUP | WALSH & NICHOLSON | TRINITY ADVISORS GROUP | THE ASCENT GROUP | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | STRATEGIC RETIREMENT PLAN CONSULTANTS | JA COUNTER | DOROSHOW INSURANCE | CSNW BENEFITS | BRIO BENEFITS | BCG 401K ADVISORS | ARISTA CONSULTING | AMCORP | ALERA INVESTMENT ADVISORS, LLC | ALERA GROUP WEALTH SERVICES
CRD#: 287906 / SEC#: 801-111892
RIA
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Contact information
Main Address
Three Parkway North Suite 500, Deerfield, IL 60015-2567
Mailing Address
Phone number
(847) 457-3000
Established
Firm type
Fiscal year end
# of Employees
88
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,097 |
| AUM (Assets Under Management) | $ 3,572,112,624 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
