Matthew D. Rothchild

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CRD#: 5143603

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Matthew David Rothchild was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 2011. Matthew had worked at 5 firms and has passed the Series 66, Series 99TO, Series 52TO, Series 57TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

NAME OF BUSINESS: Rothchild Enterprises, LLC. Through this entity are administered activities related to writing novels and providing broker/dealer and investment adviser consulting services. No activity that involves clients or construed as firm activity. Spend 20 hours a month. Since 6/11/15, FINRA BOARD OF ARBITRATION AS AN ARBITRATOR. THIS IS AN INVESTMENT RELATED activity DEALING WITH SECURITIES-RELATED DISPUTE RESOLUTION. SPEND APPROXIMATELY 1 HOUR PER QUARTER ON THIS ACTIVITY, ALL DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 1, 2022 - October 24, 2022

PRIVATE WEALTH ASSET MANAGEMENT

RIA

CRD#: 315819

CEDAR RAPIDS, IA

Past

September 10, 2021 - December 21, 2021

PRIVATE WEALTH ASSET MANAGEMENT

RIA

CRD#: 315819

CEDAR RAPIDS, IA

Past

November 4, 2013 - August 5, 2021

ADVANCED ADVISOR GROUP, LLC

RIA

CRD#: 140393

CAMBRIDGE, MN

Past

August 6, 2013 - August 5, 2021

EFS ADVISORS

RIA

CRD#: 115211

CAMBRIDGE, MN

Past

January 8, 2013 - August 5, 2021

ADVANCED ADVISOR GROUP, LLC

CRD#: 140393

CAMBRIDGE, MN

Past

June 13, 2012 - January 10, 2013

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

CRD#: 26506

MINNEAPOLIS, MN

Past

June 6, 2011 - June 13, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

PRIVATE WEALTH ASSET MANAGEMENT

PRIVATE WEALTH | PW ENERGY | PRIVATE WEALTH ASSET MANAGEMENT, LLC | PRIVATE WEALTH ASSET MANAGEMENT

CRD#: 315819 / SEC#: 801-122065

RIA

Registered Investment Advisory firm - (8/12/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/4/2011

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 57TO

Date: 11/4/2022

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/4/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/14/2013

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/15/2013

General Securities Principal Examination

Current Firm

PRIVATE WEALTH ASSET MANAGEMENT

PRIVATE WEALTH | PW ENERGY | PRIVATE WEALTH ASSET MANAGEMENT, LLC | PRIVATE WEALTH ASSET MANAGEMENT

CRD#: 315819 / SEC#: 801-122065

RIA

Registered Investment Advisory firm - (8/12/2021 Approved)

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Contact information

Main Address

1100 Capitol Avenue Suite 200, Omaha, NE 68102

Mailing Address

Phone number

(402) 227-4208

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRIVATE WEALTH ASSET MANAGEMENT, LLC ADV PART2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,947
AUM (Assets Under Management)	$ 1,849,717,875

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/16/2025	Cover Page	Report
12/06/2024	Cover Page	Report
12/06/2024	Cover Page	Report
01/27/2023	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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Firm Stability Insights

Matthew D. Rothchild

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRIVATE WEALTH ASSET MANAGEMENT

ADVANCED ADVISOR GROUP, LLC

EFS ADVISORS

ADVANCED ADVISOR GROUP, LLC

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

PRIVATE WEALTH ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 10/4/2011

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 57TO

Date: 11/4/2022

SIE

Date: 10/1/2018

Series 7

Date: 6/4/2011

Series 53

Date: 10/14/2013

Series 24

Date: 2/15/2013

Current Firm

PRIVATE WEALTH ASSET MANAGEMENT

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PRIVATE WEALTH ASSET MANAGEMENT

TRUST BUT VERIFY

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