Matthew W. Shapiro

MWS CAPITAL CONSULTANTS LLC

Glenview, IL

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CRD#: 4639818

Professional summary

Matthew Wayne Shapiro is a registered financial advisor currently at MWS CAPITAL CONSULTANTS LLC located in Glenview, Illinois.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Matthew has worked at 2 firms and has passed the Series 65 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Wayne Shapiro'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 23, 2003 - Present

MWS CAPITAL CONSULTANTS LLC

Office #2: 750 North State Street 7th Floor, Chicago, IL 60654

RIA

CRD#: 125061

Glenview, IL

Past

May 17, 2011 - October 18, 2012

DRO-WST TRADING, LLC

CRD#: 121439

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".

MWS CAPITAL CONSULTANTS LLC

MWS CAPITAL CONSULTANTS LLC | MWS CAPITAL LLC

CRD#: 125061 / SEC#: 801-123695

RIA

Registered Investment Advisory firm - (4/15/2022 Approved)

Illinois

Registered Investment Advisory firm - (12/31/2023 Terminated)

Texas

Registered Investment Advisory firm - (9/25/2018 Conditional Restricted)

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

Illinois
(6/23/2003)

IAR

Texas
(9/25/2018)

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: 3/26/2003

Uniform Investment Adviser Law Examination

Current Firm

MWS CAPITAL CONSULTANTS LLC

MWS CAPITAL CONSULTANTS LLC | MWS CAPITAL LLC

CRD#: 125061 / SEC#: 801-123695

RIA

Registered Investment Advisory firm - (4/15/2022 Approved)

Illinois

Registered Investment Advisory firm - (12/31/2023 Terminated)

Texas

Registered Investment Advisory firm - (9/25/2018 Conditional Restricted)

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Contact information

Main Address

750 North State Street 7th Floor, Chicago, IL 60654

Mailing Address

Phone number

(773) 412-4302

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MWS CAPITAL CONSULTANTS LLC ADV PART 2 FIRM BROCHURE (7/9/2025)

Regulatory assets under management

Total Number of Accounts	425
AUM (Assets Under Management)	$ 157,127,919

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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Matthew W. Shapiro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Wayne Shapiro's CRS (Customer Relationship Summary).

Certified licenses

Experience

MWS CAPITAL CONSULTANTS LLC

DRO-WST TRADING, LLC

Primary Firm SEC Registration

MWS CAPITAL CONSULTANTS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/26/2003

Current Firm

MWS CAPITAL CONSULTANTS LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MWS CAPITAL CONSULTANTS LLC

TRUST BUT VERIFY

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