Paul P. Matthews

RPM CAPITAL MANAGEMENT

Rye Brook, NY 10573

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CRD#: 323160

Professional summary

Paul Philip Matthews II, who also goes by Philip Matthews, is a registered financial advisor currently at RPM CAPITAL MANAGEMENT, LLC located in Rye Brook, New York.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1973. Paul has worked at 10 firms and has passed the Series 65, Series 63, Series 3, PC, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Philip Matthews

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.

504 IMPORTS & DISTRIBUTION - PRESIDENT: APPROXIMATELY 10-20 HOURS/WEEK. IMPORTING OF PRODUCTS, PRIMARILY WINE, FOR WHOLESALE OR RETAIL SALES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Philip Matthews II'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

June 22, 2012 - Present

RPM CAPITAL MANAGEMENT, LLC

Office #1: 800 Westchester Avenue Suite 641 North, Rye Brook, NY 10573

RIA

CRD#: 164200

Rye Brook, NY

Past

July 24, 1995 - February 10, 2003

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

July 18, 1990 - July 24, 1995

BFM ADVISORY, L.P.

CRD#: 26146

Past

June 5, 1985 - March 17, 1990

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

June 1, 1981 - April 2, 1985

U.S. MUTUAL SECURITIES CORP.

CRD#: 7046

Past

February 14, 1978 - April 17, 1981

SBC WARBURG DILLON READ INC.

CRD#: 1650

Past

January 20, 1978 - February 20, 1978

LOEB PARTNERS

CRD#: 7534

Past

January 4, 1977 - January 20, 1978

LOEB RHOADES & CO. INC.

CRD#: 7502

Past

July 18, 1974 - January 4, 1977

LOEB, RHOADES & CO. INC.

CRD#: 525

Past

December 6, 1973 - June 2, 1974

SPENCER TRASK & CO. INCORPORATED

CRD#: 782

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".

RPM CAPITAL MANAGEMENT, LLC

CRD#: 164200 / SEC#: 801-107269

RIA

Registered Investment Advisory firm - (2/9/2016 Approved)

Arizona

Registered Investment Advisory firm - (3/27/2015 Terminated)

Connecticut

Registered Investment Advisory firm - (6/30/2016 Terminated)

Florida

Registered Investment Advisory firm - (3/30/2016 Terminated)

Illinois

Registered Investment Advisory firm - (3/27/2015 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/30/2016 Terminated)

New Hampshire

Registered Investment Advisory firm - (12/31/2015 Terminated)

Rhode Island

Registered Investment Advisory firm - (3/27/2015 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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(6/22/2012)

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: 6/9/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/29/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 12/8/1997

National Commodity Futures Examination

General Industry/Product Exam

PC

Date: 2/17/1978

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 12/3/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/11/1981

General Securities Principal Examination

Current Firm

RPM CAPITAL MANAGEMENT, LLC

CRD#: 164200 / SEC#: 801-107269

RIA

Registered Investment Advisory firm - (2/9/2016 Approved)

Arizona

Registered Investment Advisory firm - (3/27/2015 Terminated)

Connecticut

Registered Investment Advisory firm - (6/30/2016 Terminated)

Florida

Registered Investment Advisory firm - (3/30/2016 Terminated)

Illinois

Registered Investment Advisory firm - (3/27/2015 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/30/2016 Terminated)

New Hampshire

Registered Investment Advisory firm - (12/31/2015 Terminated)

Rhode Island

Registered Investment Advisory firm - (3/27/2015 Terminated)

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Contact information

Main Address

800 Westchester Avenue Suite 641 North, Rye Brook, NY 10573

Mailing Address

Phone number

(203) 992-1100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RPM ADV PART 2A AUGUST 21, 2025 (8/21/2025)

Regulatory assets under management

Total Number of Accounts	171
AUM (Assets Under Management)	$ 78,398,266

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

Paul P. Matthews

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Philip Matthews II's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLACKROCK INVESTMENTS, LLC

BFM ADVISORY, L.P.

SALOMON BROTHERS INC.

U.S. MUTUAL SECURITIES CORP.

SBC WARBURG DILLON READ INC.

LOEB PARTNERS

LOEB RHOADES & CO. INC.

LOEB, RHOADES & CO. INC.

SPENCER TRASK & CO. INCORPORATED

Primary Firm SEC Registration

RPM CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/9/2012

Series 63

Date: 10/29/1981

Series 3

Date: 12/8/1997

PC

Date: 2/17/1978

Series 1

Date: 12/3/1973

Series 24

Date: 3/11/1981

Current Firm

RPM CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RPM CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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