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ML

Matthew T. Lawson

SHADE TREE ADVISORS
Saratoga Springs, NY 12866
Some features on this profile are disabled
CRD#: 5211852
ML

Professional summary

Matthew Thomas Lawson is a registered financial advisor currently at SHADE TREE ADVISORS LLC located in Saratoga Springs, New York.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Matthew has worked at 5 firms and has passed the Series 66, SIE and Series 7 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Thomas Lawson'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 30, 2023 - Present

SHADE TREE ADVISORS LLC

Office #1: 19 Railroad Place Suite 301, Saratoga Springs, NY 12866
RIA
CRD#: 289905
Saratoga Springs, NY
Past

July 12, 2022 - June 1, 2023

ROCKEFELLER CAPITAL MANAGEMENT

RIA
CRD#: 294197
SARATOGA SPRINGS, NY
Past

July 15, 2021 - June 1, 2023

ROCKEFELLER FINANCIAL LLC

RIA
CRD#: 291361
Saratoga Springs, NY
Past

May 19, 2021 - June 1, 2023

ROCKEFELLER FINANCIAL LLC

BD
CRD#: 291361
Saratoga Springs, NY
Past

January 4, 2021 - June 9, 2021

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
LATHAM, NY
Past

January 31, 2007 - January 4, 2021

MERCER ALLIED COMPANY, L.P.

BD
CRD#: 37404
LATHAM, 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".
ST
SHADE TREE ADVISORS LLC
HIGH ROCK ADVISORS LLC | SHADE TREE ADVISORS LLC | SHADE TREE ADVISORS

CRD#: 289905 / SEC#: 801-111885

RIA
Registered Investment Advisory firm - (10/20/2017 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 York
(6/30/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/21/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/30/2007
General Securities Representative Examination

Current Firm

ST
SHADE TREE ADVISORS LLC
HIGH ROCK ADVISORS LLC | SHADE TREE ADVISORS LLC | SHADE TREE ADVISORS

CRD#: 289905 / SEC#: 801-111885

RIA
Registered Investment Advisory firm - (10/20/2017 Approved)
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Contact information

Main Address
19 Railroad Place Suite 301, Saratoga Springs, NY 12866
Mailing Address
Phone number
(518) 290-9460
Established
Firm type
Fiscal year end
# of Employees
64

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SHADE TREE ADVISORS LLC ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts124
AUM (Assets Under Management)$ 1,025,542,386

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/02/2026
Cover Page
Report
11/25/2024
Cover Page
Report
01/02/2024
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.

Company Information

SHADE TREE ADVISORS LLC

CRD#: 289905Saratoga Springs, NY 12866

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