Perry J. Mattern

MATTERN CAPITAL MANAGEMENT

Lakewood, CO 80228

Some features on this profile are disabled

CRD#: 4168498

Professional summary

Perry Joseph Mattern, CFP®, CIMA® is a registered financial advisor currently at MATTERN CAPITAL MANAGEMENT, LLC located in Lakewood, Colorado.

Perry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Perry has worked at 3 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

What are your service offerings?

Estate Planning

Investment Planning

Retirement Planning

Do you have an area of expertise or specialization?

Alternative or Private Investm...

Corporate Executives

Entrepreneurs

Estate & Generational Planning...

High Net Worth Client Needs

Tax Planning

What is your minimum asset requirement?

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.

RAW LAND LOCATED IN PINAL COUNTY, ARIZONA; INVESTMENT RELATED; PINAL COUNTY, ARIZONA; 14.58% OWNERSHIP; START DATE 4/2013; 0 HRS PER MONTH. MATTERN LAND DEVELOPMENT LLC; INVESTMENT RELATED; EVERGREEN, CO; OWNER; LAND ACQUISITION FOR INVESTMENT; START DATE 5/2013; 0 HRS PER MONTH. MATTERN STORAGE, LLC; NON INV RELATED; EVERGREEN, CO; STORAGE UNIT; OWNER; START: 10/9/13; 0 HRS/MO; 0 DURING TRADING. AZ346, LLC; NON INV RELATED; EVERGREEN, CO; HOLDING A CONDO'S OWNERSHIP THAT WILL BE RENTED OUT; OWNER/MANAGER; START 08/15/2022: 0 HRS/MO; 0 DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Perry Joseph Mattern'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: 2001

CIMA^®

Certified Investment Management Analyst

Experience

Current

February 11, 2019 - Present

MATTERN CAPITAL MANAGEMENT, LLC

Office #1: 165 S. Union Blvd Suite 780, Lakewood, CO 80228

RIA

CRD#: 299342

Lakewood, CO

Past

January 1, 2008 - February 19, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DENVER, CO

Past

January 1, 2008 - February 19, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DENVER, CO

Past

January 23, 2001 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

DENVER, CO

Past

May 19, 2000 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

DENVER, CO

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".

MATTERN CAPITAL MANAGEMENT, LLC

CRD#: 299342 / SEC#: 801-114522

RIA

Registered Investment Advisory firm - (1/28/2019 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

Arizona
(5/12/2022)

IAR

Colorado
(2/11/2019)

IAR

Texas
(5/14/2019)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/25/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/9/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/18/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/7/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/20/2006

General Securities Sales Supervisor - Options Module Examination

Current Firm

MATTERN CAPITAL MANAGEMENT, LLC

CRD#: 299342 / SEC#: 801-114522

RIA

Registered Investment Advisory firm - (1/28/2019 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

165 S. Union Blvd Suite 780, Lakewood, CO 80228

Mailing Address

Phone number

(720) 710-2934

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MATTERN CAPITAL FORM ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,190
AUM (Assets Under Management)	$ 998,867,587

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.

Contact information

(xxx) xxx-xxxx

Similar Advisors

Craig Johlfs

LPL FINANCIAL LLC

IAR

Greenwood Village, CO

Ralph Jones

OPPENHEIMER & CO. INC.

IAR

Denver, CO

Lorie Jones

TANDEM FINANCIAL, LLC

IAR

GREENWOOD VILLAGE, CO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Perry J. Mattern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Perry Joseph Mattern's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

MATTERN CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/25/2000

SIE

Date: 10/1/2018

Series 31

Date: 4/9/2009

Series 7

Date: 5/18/2000

Series 10

Date: 12/7/2006

Series 9

Date: 11/20/2006

Current Firm

MATTERN CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MATTERN CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors