Matthew S. Stephenson

ONE CAPITAL MANAGEMENT

Walnut Creek, CA 94596

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CRD#: 4817068

Professional summary

Matthew S Stephenson is a registered financial advisor currently at ONE CAPITAL MANAGEMENT, LLC located in Walnut Creek, California.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Matthew has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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.

DOLLY POSITION: Dolly Helper NATURE: It is an on demand mover/helper business, Like uber but for moving, lifting, pickup and delivery service. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/06/2020 ADDRESS: 901 5th Avenue, Seattle CA 98164, United States DESCRIPTION: It is an on demand mover/helper business, Like uber but for moving, lifting, pickup and delivery service.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew S Stephenson'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 3, 2025 - Present

ONE CAPITAL MANAGEMENT, LLC

Office #1: 1850 Mt. Diablo Blvd. Suite 605, Walnut Creek, CA 94596

RIA

CRD#: 114861

Walnut Creek, CA

Past

January 29, 2015 - August 8, 2025

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

Walnut Creek, CA

Past

January 29, 2015 - August 8, 2025

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

Walnut Creek, CA

Past

June 25, 2009 - January 6, 2015

HARRISDIRECT LLC

RIA

CRD#: 42159

ARLINGTON, VA

Past

July 12, 2004 - January 6, 2015

E*TRADE SECURITIES LLC

CRD#: 29106

SAN FRANCISCO, CA

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".

ONE CAPITAL MANAGEMENT, LLC

FUNDX, A DIVISION OF ONE CAPITAL MANAGEMENT, LLC | ONE CAPITAL MANAGEMENT, LLLP | ONE CAPITAL MANAGEMENT, LLC

CRD#: 114861 / SEC#: 801-60483

RIA

Registered Investment Advisory firm - (11/5/2001 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

California
(9/3/2025)

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: 6/23/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/16/2004

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: 7/9/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/23/2007

General Securities Principal Examination

Current Firm

ONE CAPITAL MANAGEMENT, LLC

FUNDX, A DIVISION OF ONE CAPITAL MANAGEMENT, LLC | ONE CAPITAL MANAGEMENT, LLLP | ONE CAPITAL MANAGEMENT, LLC

CRD#: 114861 / SEC#: 801-60483

RIA

Registered Investment Advisory firm - (11/5/2001 Approved)

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Contact information

Main Address

3075 Townsgate Road Suite 350, Westlake Village, CA 91361

Mailing Address

Phone number

(805) 409-8150

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OCM FORM ADV PART 2A NOVEMBER 14, 2025 (11/14/2025)

Regulatory assets under management

Total Number of Accounts	8,302
AUM (Assets Under Management)	$ 7,002,823,758

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/17/2025	Cover Page	Report
04/16/2024	Cover Page	Report
02/12/2023	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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Matthew S. Stephenson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew S Stephenson's CRS (Customer Relationship Summary).

Certified licenses

Experience

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

ONE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/23/2009

Series 63

Date: 7/16/2004

SIE

Date: 10/1/2018

Series 7

Date: 7/9/2004

Series 24

Date: 7/23/2007

Current Firm

ONE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ONE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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