Matthew J. Hicks

CORTLAND ASSOCIATES

RIDGEFIELD, CT

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CRD#: 1282087

Professional summary

Matthew Joseph Hicks III is a registered financial advisor currently at CORTLAND ASSOCIATES INC located in Ridgefield, Connecticut.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Matthew has worked at 13 firms and has passed the Series 65, Series 63, Series 55, Series 25 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Joseph Hicks III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 12, 2021 - Present

CORTLAND ASSOCIATES INC

RIA

CRD#: 104681

RIDGEFIELD, CT

Past

June 4, 2010 - January 28, 2011

STONE & YOUNGBERG LLC

CRD#: 795

NEW YORK, NY

Past

May 24, 2006 - March 2, 2010

BEACON CAPITAL MARKETS, LLC

CRD#: 133105

NEW YORK, NY

Past

April 5, 2004 - August 31, 2005

KEEFE, BRUYETTE & WOODS, INC.

CRD#: 481

NEW YORK, NY

Past

August 28, 2003 - November 6, 2003

MARATHON CAPITAL MARKETS, LLC

CRD#: 103767

CHICAGO, IL

Past

April 4, 2001 - July 9, 2001

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269

NEW YORK, NY

Past

November 30, 2000 - February 13, 2001

BMO CAPITAL MARKETS CORP.

CRD#: 16686

NEW YORK, NY

Past

June 27, 2000 - August 8, 2001

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

August 11, 1997 - January 26, 2001

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

January 25, 1995 - August 26, 1997

R.W.PRESSPRICH & CO.

CRD#: 26460

NEW YORK, NY

Past

December 13, 1993 - January 6, 1995

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

October 9, 1992 - December 23, 1993

FINANCIAL NORTHEASTERN SECURITIES, INC.

CRD#: 17007

FAIRFIELD, NJ

Past

April 29, 1992 - July 2, 1992

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 12, 1992 - April 10, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

CORTLAND ASSOCIATES INC

CORTLAND ASSOCIATES INC | CORTLAND ASSOCIATES, INC.

CRD#: 104681 / SEC#: 801-34183

RIA

Registered Investment Advisory firm - (4/20/1989 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(5/12/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/13/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/9/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 1/30/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 25

Date: 5/18/1999

NYSE Trading Assistant Examination

General Industry/Product Exam

Series 7

Date: 2/10/1992

General Securities Representative Examination

Current Firm

CORTLAND ASSOCIATES INC

CORTLAND ASSOCIATES INC | CORTLAND ASSOCIATES, INC.

CRD#: 104681 / SEC#: 801-34183

RIA

Registered Investment Advisory firm - (4/20/1989 Approved)

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Contact information

Main Address

8000 Maryland Avenue, Suite 730, St. Louis, MO 63105

Mailing Address

Phone number

(314) 726-6164

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CORTLAND ASSSOCIATES, INC. (3/27/2025)

Regulatory assets under management

Total Number of Accounts	390
AUM (Assets Under Management)	$ 1,001,000,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Matthew J. Hicks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Joseph Hicks III's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONE & YOUNGBERG LLC

BEACON CAPITAL MARKETS, LLC

KEEFE, BRUYETTE & WOODS, INC.

MARATHON CAPITAL MARKETS, LLC

TRADITION SECURITIES AND DERIVATIVES LLC

BMO CAPITAL MARKETS CORP.

SUTRO & CO. INCORPORATED

TUCKER ANTHONY INCORPORATED

R.W.PRESSPRICH & CO.

TUCKER ANTHONY INCORPORATED

FINANCIAL NORTHEASTERN SECURITIES, INC.

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CORTLAND ASSOCIATES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/13/2021

Series 63

Date: 3/9/1992

Series 55

Date: 1/30/2001

Series 25

Date: 5/18/1999

Series 7

Date: 2/10/1992

Current Firm

CORTLAND ASSOCIATES INC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORTLAND ASSOCIATES INC

TRUST BUT VERIFY

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