David E Mathias
Professional Summary
David E Mathias, who also goes by David Elliott Mathias, is a registered financial advisor currently at XCELSIOR ADVISOR PARTNERS LLC located in Scottsdale, Arizona and THE LEADERS GROUP, INC. located in Summit, New Jersey. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. David has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David Elliott Mathias
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
17 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
BV PRIVATE WEALTH | XCELSIOR PRIVATE WEALTH LLC | XCELSIOR ADVISOR PARTNERS LLC | VISTA WEALTH MANAGEMENT OF SCOTTSDALE, LLC | REEG PRIVATE WEALTH LLC | JOE HARDEE INVESTMENT MANAGEMENT LLC | EXCELSIOR WEALTH MANAGEMENT LLC | EXCELSIOR ADVISOR NETWORK LLC | EAGLE ROCK WEALTH MANAGEMENT | DUFFY MATHIAS PRIVATE WEALTH
Contact Information
Main Address
14624 Scottsdale Rd Suite 195, Scottsdale, AZ 85254Mailing Address
201 Columbine St. Ste 150 #6195, Denver, CO 80206Phone Number
(480) 866-8616# of Employees
25SEC notice filing (29 States and Territories)
Registered to provide investment advisory services in 29 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
4,746AUM (Assets Under Management)
$2,510,504,102Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
BV PRIVATE WEALTH | XCELSIOR PRIVATE WEALTH LLC | XCELSIOR ADVISOR PARTNERS LLC | VISTA WEALTH MANAGEMENT OF SCOTTSDALE, LLC | REEG PRIVATE WEALTH LLC | JOE HARDEE INVESTMENT MANAGEMENT LLC | EXCELSIOR WEALTH MANAGEMENT LLC | EXCELSIOR ADVISOR NETWORK LLC | EAGLE ROCK WEALTH MANAGEMENT | DUFFY MATHIAS PRIVATE WEALTH
State Registrations and Notice Filings
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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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view David E Mathias's CRS (Customer Relationship Summary).
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