Matthew P. Franz

EAGLE POINT CAPITAL LLC

Chicago, IL

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CRD#: 5951319

Professional summary

Matthew Patrick Franz is a registered financial advisor currently at EAGLE POINT CAPITAL LLC located in Chicago, Illinois.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Matthew has worked at 4 firms and has passed the Series 65 and Series 3 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.

* Name of the other business: Eagle Point Capital Funds, LLC * Investment Related? Yes. * Address: 1300 Michigan St NE, Grand Rapids, MI 49503 * Nature Of Business: General partner to a private fund which invests in wholly owned private businesses as well as securities. * Position: Principal * Title, or relationship with the other business: Principal, partial owner. * Start date of your relationship: April 2023 * Approximate number of hours/month you devote to the other business: Five * Number of hours you devote to the other business during securities trading hours: Zero * Briefly describe your duties relating to the other business: I advise on major strategic decisions.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Patrick Franz'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

January 29, 2019 - Present

EAGLE POINT CAPITAL LLC

RIA

CRD#: 288969

Chicago, IL

Past

June 10, 2015 - December 1, 2016

KKM FINANCIAL LLC

RIA

CRD#: 165136

CHICAGO, IL

Past

August 13, 2012 - July 31, 2015

EQUITY ARMOR INVESTMENTS

RIA

CRD#: 156327

CHICAGO, IL

Past

July 7, 2011 - August 16, 2011

303 EQUITY TRADING GROUP II, LLC

CRD#: 147292

CHICAGO, 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.

Highlighted states indicate IAR registrations

IAR

Illinois
(1/29/2019)

IAR

Michigan
(7/15/2019)

IAR

Texas
(1/29/2020)

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 65

Date: 8/10/2012

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 11/19/2012

National Commodity Futures Examination

Current Firm

EAGLE POINT CAPITAL LLC

CRD#: 288969 / SEC#:

Illinois

Registered Investment Advisory firm - (1/29/2019 Approved)

Michigan

Registered Investment Advisory firm - (2/15/2019 Approved)

Texas

Registered Investment Advisory firm - (1/29/2020 Conditional Restricted)

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Contact information

Main Address

Chicago, IL

Mailing Address

Phone number

+1 (630) 329-3860

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	103
AUM (Assets Under Management)	$ 20,458,498

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 P. Franz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Patrick Franz's CRS (Customer Relationship Summary).

Certified licenses

Experience

EAGLE POINT CAPITAL LLC

KKM FINANCIAL LLC

EQUITY ARMOR INVESTMENTS

303 EQUITY TRADING GROUP II, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/10/2012

Series 3

Date: 11/19/2012

Current Firm

EAGLE POINT CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EAGLE POINT CAPITAL LLC

TRUST BUT VERIFY

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