MC
Matthew R. Compton
ALERA INVESTMENT ADVISORS
New York, NY 10004
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CRD#: 4793298
MC
Professional summary
Matthew Ryan Compton, AIF®, who also goes by Matthew Compton, is a registered financial advisor currently at ALERA INVESTMENT ADVISORS, LLC located in New York, New York.
Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Matthew has worked at 7 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matthew Compton
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) Brio Financial Services, Investment related:Yes, 30 Broad Street, 35 Floor, New York, New York, 10004, Oversees all corporate retirement plan business., Director - Retirement Services, 10/01/2019, 50 hours per week., Oversees all corporate retirement plans. 2) Brio Benefit Consulting, Inc., Investment related:No, 30 Broad Street, 35 Floor, New York, New York, 10004, Employee Benefits Consulting Firm, Director - Retirement Services, 10/01/2019, 10 hours, Consult on employee benefits. 3) Independent Insurance Agent, Investment related:No, 30 Broad Street, 35 Floor, New York, New York, 10004, Insurance sales, Independent Insurance Agent, 01/01/2004, 10 hours, As a specialist, I offer in the corporate retirement plan market, annuity contracts as their 401k & 403b product offerings. 4) Alera Group Wealth Services - Alera Investment Advisors, LLC Investment related: Yes, Three Parkway North, Suite 500 Deerfield, IL, 60015, Retirement Plan Consulting Services, Partner - Retirement Solutions, 03/11/2024, less than 2 hours per week , Investment Advisor Representative
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Ryan Compton'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®
Experience
Current
May 16, 2024 - Present
ALERA INVESTMENT ADVISORS, LLC
Office #1: 30 Broad Street 35th Floor, New York, NY 10004RIA
CRD#: 287906
New York, NY
Past
March 2, 2020 - September 30, 2024
AURORA PRIVATE WEALTH, INC.
RIA
CRD#: 281604
New York, NY
Past
October 14, 2019 - September 30, 2024
APW CAPITAL, INC.
BD
CRD#: 43814
New York, NY
Past
April 22, 2008 - September 23, 2008
PRINCIPAL FUNDS DISTRIBUTOR, INC.
BD
CRD#: 43261
DES MOINES, IA
Past
April 7, 2008 - October 22, 2019
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
NEW YORK, NY
Past
April 1, 2005 - March 13, 2008
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 840
NEW YORK, NY
Past
July 1, 2004 - March 9, 2005
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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".
AI
ALERA INVESTMENT ADVISORS, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WILSON ALBERS | WATERFORD GROUP | WALSH & NICHOLSON | TRINITY ADVISORS GROUP | THE ASCENT GROUP | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | STRATEGIC RETIREMENT PLAN CONSULTANTS | JA COUNTER | DOROSHOW INSURANCE | CSNW BENEFITS | BRIO BENEFITS | BCG 401K ADVISORS | ARISTA CONSULTING | AMCORP | ALERA INVESTMENT ADVISORS, LLC | ALERA GROUP WEALTH SERVICES
CRD#: 287906 / SEC#: 801-111892
RIA
Registered Investment Advisory firm - (10/26/2017 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
New Jersey(5/16/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AI
ALERA INVESTMENT ADVISORS, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WILSON ALBERS | WATERFORD GROUP | WALSH & NICHOLSON | TRINITY ADVISORS GROUP | THE ASCENT GROUP | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | STRATEGIC RETIREMENT PLAN CONSULTANTS | JA COUNTER | DOROSHOW INSURANCE | CSNW BENEFITS | BRIO BENEFITS | BCG 401K ADVISORS | ARISTA CONSULTING | AMCORP | ALERA INVESTMENT ADVISORS, LLC | ALERA GROUP WEALTH SERVICES
CRD#: 287906 / SEC#: 801-111892
RIA
Registered Investment Advisory firm - (10/26/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Three Parkway North Suite 500, Deerfield, IL 60015-2567
Mailing Address
Phone number
(847) 457-3000
Established
Firm type
Fiscal year end
# of Employees
88
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,097 |
| AUM (Assets Under Management) | $ 3,572,112,624 |
Red Flags
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