Mathew A. Mellier

HARDWORKING CAPITAL ADVISORS

Palm Desert, CA 92211

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CRD#: 2977040

Professional summary

Mathew Alex Mellier, CFP®, who also goes by Matthew Alex Mellier, is a registered financial advisor currently at HARDWORKING CAPITAL ADVISORS, LLC located in Palm Desert, California and EMERSON EQUITY LLC located in Oxnard, California.

Mathew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Mathew has worked at 14 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Matthew Alex Mellier

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 Mathew Alex Mellier'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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

September 2, 2015 - Present

HARDWORKING CAPITAL ADVISORS, LLC

Office #1: 34220 Gateway Drive Suite 120, Palm Desert, CA 92211

RIA

CRD#: 226760

Palm Desert, CA

Current

February 14, 2019 - Present

EMERSON EQUITY LLC

Office #1: 2775 N. Ventura Road Suite 207, Oxnard, CA 93036Office #2: 34220 Gateway Drive Suite 120, Palm Desert, CA 92211

RIA

CRD#: 130032

Oxnard, CA

Past

November 1, 2017 - February 18, 2019

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

PALM DESERT, CA

Past

November 1, 2017 - February 18, 2019

CETERA WEALTH SERVICES, LLC

CRD#: 13572

PALM DESERT, CA

Past

April 29, 2014 - November 1, 2017

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

PALM DESERT, CA

Past

July 30, 2013 - November 10, 2015

MOGUL WEALTH MANAGEMENT, INC.

RIA

CRD#: 144711

MANHATTAN BEACH, CA

Past

March 7, 2013 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

PALM DESERT, CA

Past

February 8, 2011 - August 7, 2012

REUTERS TRANSACTION SERVICES LLC

CRD#: 13245

CHICAGO, IL

Past

December 8, 2008 - November 2, 2010

TRADEWEB LLC

CRD#: 42759

NEW YORK, NY

Past

August 23, 2006 - November 13, 2008

ARCHIPELAGO SECURITIES L.L.C.

CRD#: 102500

CHICAGO, IL

Past

March 16, 2006 - April 27, 2006

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

September 20, 2005 - March 14, 2006

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

BOLINGBROOK, IL

Past

March 3, 2003 - November 5, 2003

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

BOLINGBROOK, IL

Past

February 16, 2001 - March 3, 2003

RUMSON CAPITAL, LLC

CRD#: 33848

MONTEBELLO, NY

Past

June 10, 1999 - February 5, 2001

TERRA NOVA FINANCIAL, LLC

CRD#: 37761

NEW YORK, NY

Past

February 27, 1998 - November 5, 1998

NATIONAL CLEARING CORP.

CRD#: 14343

SHERMAN OAKS, CA

Past

January 1, 1998 - February 16, 1998

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

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".

HARDWORKING CAPITAL ADVISORS, LLC

HARDWORKING CAPITAL ADVISORS, L.L.C. | HARDWORKING CAPITAL ADVISORS, LLC

CRD#: 226760 / SEC#: 801-112113

RIA

Registered Investment Advisory firm - (12/7/2017 Approved)

California

Registered Investment Advisory firm - (1/6/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/7/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(2/14/2019)

IAR

California
(9/2/2015)

California
(2/14/2019)

Colorado
(2/28/2019)

Georgia
(2/28/2019)

Hawaii
(2/28/2019)

Idaho
(2/28/2019)

Illinois
(2/14/2019)

Nevada
(2/28/2019)

New York
(2/14/2019)

Oregon
(2/28/2019)

IAR

Texas
(9/4/2015)

Texas
(2/28/2019)

Utah
(2/28/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/8/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/10/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 8/14/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/30/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/2/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 11/19/1999

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

HARDWORKING CAPITAL ADVISORS, LLC

HARDWORKING CAPITAL ADVISORS, L.L.C. | HARDWORKING CAPITAL ADVISORS, LLC

CRD#: 226760 / SEC#: 801-112113

RIA

Registered Investment Advisory firm - (12/7/2017 Approved)

California

Registered Investment Advisory firm - (1/6/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/7/2017 Terminated)

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Contact information

Main Address

34220 Gateway Drive Suite 120, Palm Desert, CA 92211

Mailing Address

Phone number

(760) 340-3277

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HWC FORM ADV PART 2A & PART 2B DISCLOSURE BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	811
AUM (Assets Under Management)	$ 192,102,939

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.

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Advisor Monitoring

Firm Stability Insights

Mathew A. Mellier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mathew Alex Mellier's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARDWORKING CAPITAL ADVISORS, LLC

EMERSON EQUITY LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

MOGUL WEALTH MANAGEMENT, INC.

GIRARD SECURITIES, INC.

REUTERS TRANSACTION SERVICES LLC

TRADEWEB LLC

ARCHIPELAGO SECURITIES L.L.C.

VALIC FINANCIAL ADVISORS, INC.

FIS BROKERAGE & SECURITIES SERVICES LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

RUMSON CAPITAL, LLC

TERRA NOVA FINANCIAL, LLC

NATIONAL CLEARING CORP.

QUEST CAPITAL STRATEGIES, INC.

Primary Firm SEC Registration

HARDWORKING CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/8/2013

Series 63

Date: 1/10/1998

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 8/14/1999

Series 7

Date: 12/30/1997

Series 24

Date: 9/2/2000

Series 4

Date: 11/19/1999

FINRA

Current Firm

HARDWORKING CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARDWORKING CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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