Matthew E. Rubin

SOLIC CAPITAL MANAGEMENT

CHIICAGO, IL 60606

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CRD#: 5270547

Professional summary

Matthew Evan Rubin is a registered financial advisor currently at SOLIC CAPITAL MANAGEMENT, LLC located in Chiicago, Illinois and SOLIC CAPITAL LLC located in Chicago, Illinois.

Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Matthew has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 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.

IS A MEMBER AND PARTNER OF SOLIC CAPITAL GP I, LLC, THE GENERAL PARTNER OF SOLIC CAPITAL PARTNERS, L.P., A MIDDLE MARKET PRIVATE EQUITY FUND. IN ADDITION, CURRENTLY ALSO PROVIDES MANAGEMENT SERVICES TO SOLIC CAPITAL PARTNERS, L.P. THROUGH ITS MANAGER, SOLIC CAPITAL MANAGEMENT, LLC. I am involved in client engagements that run through an affiliated entity, SOLIC Capital Advisors, LLC. Such engagements may include my participation as an officer, fiduciary or a board member of a client and its subsidiaries. These roles do not provide any direct compensation outside of my employment with SOLIC Capital Advisors, LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Evan Rubin'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®

None

Experience

Current

October 18, 2023 - Present

SOLIC CAPITAL MANAGEMENT, LLC

Office #1: 150 North Wacker Drive Suite 3000, Chiicago, IL 60606

RIA

CRD#: 167475

CHIICAGO, IL

Current

September 5, 2023 - Present

SOLIC CAPITAL LLC

Office #1: 444 West Lake Street Suite 2450, Chicago, IL 60606

CRD#: 158911

CHICAGO, IL

Past

January 6, 2017 - August 22, 2022

SOLIC CAPITAL MANAGEMENT, LLC

RIA

CRD#: 167475

EVANSTON, IL

Past

May 9, 2012 - January 28, 2022

SOLIC CAPITAL LLC

CRD#: 158911

EVANSTON, IL

Past

April 3, 2007 - June 1, 2012

ANKURA CAPITAL ADVISORS, LLC

CRD#: 114155

EVANSTON, IL

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(9/12/2023)

IAR

Illinois
(10/18/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/11/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/6/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/2/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 2/24/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SOLIC CAPITAL MANAGEMENT, LLC

CRD#: 167475 / SEC#: 801-106706

RIA

Registered Investment Advisory firm - (1/31/2017 Terminated)

Florida

Registered Investment Advisory firm - (10/23/2019 Approved)

Illinois

Registered Investment Advisory firm - (1/31/2017 Approved)

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).

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Contact information

Main Address

150 North Wacker Drive Suite 3000, Chiicago, IL 60606

Mailing Address

Phone number

(847) 583-1618

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 53,631,752

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 E. Rubin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Evan Rubin's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOLIC CAPITAL LLC

SOLIC CAPITAL MANAGEMENT, LLC

SOLIC CAPITAL LLC

ANKURA CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/11/2016

Series 63

Date: 7/6/2007

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/2/2007

Series 14

Date: 1/2/2023

Series 24

Date: 2/24/2011

FINRA

Current Firm

SOLIC CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOLIC CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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