Matthew W. Whall

TOUCHSTONE ADVISORS

San Francisco, CA

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CRD#: 4279970

Professional summary

Matthew William Davoust Whall, who also goes by Matt Whall, Matthew W.d. Whall, is a registered financial advisor currently at TOUCHSTONE ADVISORS INC located in San Francisco, California and TOUCHSTONE SECURITIES, INC. located in Cincinnati, Ohio.

Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Matthew has worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Matt Whall | Matthew W.d. Whall

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.

1) Name: Wineluv; Not investment related: Address: 2 Townsend St, Bldg 3, Apt 106, San Francisco, CA 94107; Nature: wine events/tastings; Position/title: Partner; start date - 7/1/23; Appr. 15 hours/month; 0 during securities trading hours; Duties: promote wine tastings 1x/month, secure venues, secure wineries 2) Provide business-to-business marketing and solicitation activities to downstream intermediaries regarding Separately Managed Accounts and Model Portfolio Delivery options of select advisers contracted with Touchstone Securities. Approximately two hours per business week during trading hours, compensated via an override as percentage of management fee. 3) Big Heart Trivia PBC; investment related; 50 Woodside Plaza #750 Redwood City, CA 94061; Trivia/Gaming app partnering with non-profit orgs; Investor; start date: 3/31/25; 0 hours/month; 0 during securities trading hours; Only an investor, no duties. I do no receive compensation from selling future shares of this company. This is purely an investment.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew William Davoust Whall's 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 30, 2022 - Present

TOUCHSTONE ADVISORS INC

RIA

CRD#: 107028

San Francisco, CA

Current

September 30, 2022 - Present

TOUCHSTONE SECURITIES, INC.

Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202

CRD#: 1526

CINCINNATI, OH

Past

November 8, 2021 - August 11, 2022

TLG ADVISORS, INC.

RIA

CRD#: 111052

San Francisco, CA

Past

November 6, 2021 - August 11, 2022

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

July 2, 2015 - November 27, 2019

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

SAN FRANCISCO, CA

Past

July 1, 2015 - November 27, 2019

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

Past

November 9, 2010 - June 24, 2015

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

SAN FRANCISCO, CA

Past

November 5, 2010 - June 24, 2015

NEUBERGER BERMAN BD LLC

CRD#: 2908

SAN FRANCISCO, CA

Past

September 9, 2002 - November 2, 2010

NUVEEN FUND ADVISORS, LLC

RIA

CRD#: 104626

CHICAGO, IL

Past

February 12, 2001 - November 2, 2010

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

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".

TOUCHSTONE ADVISORS INC

CRD#: 107028 / SEC#: 801-45963

RIA

Registered Investment Advisory firm - (2/28/1994 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

California
(9/30/2022)

Hawaii
(9/30/2022)

Nevada
(9/30/2022)

IAR

Ohio
(9/30/2022)

Ohio
(10/3/2022)

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 65

Date: 9/5/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/5/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/9/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TOUCHSTONE ADVISORS INC

CRD#: 107028 / SEC#: 801-45963

RIA

Registered Investment Advisory firm - (2/28/1994 Approved)

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Contact information

Main Address

303 Broadway Suite 1100, Cincinnati, OH 45202-4203

Mailing Address

Phone number

(513) 362-8000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	41
AUM (Assets Under Management)	$ 29,132,797,072

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 W. Whall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew William Davoust Whall's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOUCHSTONE SECURITIES, INC.

TLG ADVISORS, INC.

THE LEADERS GROUP, INC.

FIRST TRUST ADVISORS LP

FIRST TRUST PORTFOLIOS L.P.

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

NUVEEN FUND ADVISORS, LLC

NUVEEN SECURITIES, LLC

Primary Firm SEC Registration

TOUCHSTONE ADVISORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/5/2002

Series 63

Date: 3/5/2001

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/9/2001

FINRA

Current Firm

TOUCHSTONE ADVISORS INC

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

TOUCHSTONE ADVISORS INC

TRUST BUT VERIFY

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