Matthew J. Allain

LEO FUND SERVICES

EDISON, NJ 08837

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CRD#: 3267821

Professional summary

Matthew James Allain is a registered financial advisor currently at LEO FUND SERVICES, LLC located in Edison, New Jersey and LEO WEALTH, LLC located in Iselin, New Jersey.

Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Matthew has worked at 8 firms and has passed the Series 63, SIE 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.

REP HOLDS AN ACTIVE INSURANCE LICENSE & IS A LICENSED MEMBER OF MINIMIZE RISK, LLC, Iselin, NJ; A NEW JERSEY BASED INSURANCE AGENCY and affiliate of The Leo Group, LLC; Capflow Funding Group Managers, LLC, Rutherford, NJ; 4/2019- Member of the Board of Directors. Non investment related; 2 Hrs/month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew James Allain'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

September 26, 2014 - Present

LEO FUND SERVICES, LLC

Office #1: 379 Thornall Street Floor 9-suite 9, Edison, NJ 08837

RIA

CRD#: 163259

EDISON, NJ

Current

October 20, 2016 - Present

LEO WEALTH, LLC

Office #1: 100 Wood Ave South, Iselin, NJ 08830

RIA

CRD#: 283891

Iselin, NJ

Current

March 30, 2022 - Present

LEO BROKERAGE, LLC

Office #1: 379 Thornall Street Floor 9 Suite 9, Edison, NJ 08837

CRD#: 109121

Edison, NJ

Past

October 26, 2017 - June 22, 2020

OLDEN LANE SECURITIES, LLC

CRD#: 173847

BRIDGEWATER, NJ

Past

November 25, 2014 - October 13, 2015

SENAHILL SECURITIES, LLC

CRD#: 166477

NEW YORK, NY

Past

December 14, 2010 - December 21, 2012

FCG ADVISORS, LLC

CRD#: 40633

CHATHAM, NJ

Past

July 23, 2002 - October 20, 2010

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

PARSIPPANY, NJ

Past

October 5, 1999 - October 20, 2010

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

PARSIPPANY, NJ

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".

LEO WEALTH, LLC

CRD#: 283891 / SEC#: 801-108435

RIA

Registered Investment Advisory firm - (9/26/2016 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.

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

IAR

New Jersey
(9/26/2014)

New Jersey
(3/30/2022)

IAR

New York
(9/4/2021)

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

Exams

State Security Law Exam

Series 63

Date: 11/11/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/4/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LEO WEALTH, LLC

CRD#: 283891 / SEC#: 801-108435

RIA

Registered Investment Advisory firm - (9/26/2016 Approved)

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Contact information

Main Address

860 Airport Freeway Suite 402, Hurst, TX 76054

Mailing Address

Phone number

(817) 354-1090

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEO WEALTH, LLC - ADV PART 2A BROCHURE (7/24/2025)

Regulatory assets under management

Total Number of Accounts	4,566
AUM (Assets Under Management)	$ 2,655,950,651

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/11/2025	Cover Page	Report
10/23/2024	Cover Page	Report
11/30/2023	Cover Page	Report

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

Matthew J. Allain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew James Allain's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEO WEALTH, LLC

LEO BROKERAGE, LLC

OLDEN LANE SECURITIES, LLC

SENAHILL SECURITIES, LLC

FCG ADVISORS, LLC

GOLDMAN SACHS WEALTH SERVICES, L.P.

MERCER ALLIED COMPANY, L.P.

Primary Firm SEC Registration

LEO WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/11/1999

SIE

Date: 10/1/2018

Series 7

Date: 10/4/1999

FINRA

Current Firm

LEO WEALTH, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LEO WEALTH, LLC

TRUST BUT VERIFY

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