Matthew Roesser

MALATAI CAPITAL LLC

NEW YORK, NY 10271

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CRD#: 5953114

Professional summary

Matthew Roesser, who also goes by Matthew Peter Roesser, Matthew P Roesser, is a registered financial advisor currently at MALATAI CAPITAL LLC located in New York, New York.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Matthew has worked at 2 firms and has passed the Series 65 and Series 56 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Matthew Peter Roesser | Matthew P Roesser

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.

1. Liberty 225 Capital; Partner; Not Investment Related; 120 Broadway New York NY 10271; fundless sponsor for SPV's in consumer product and technology businesses; Management Reviews, Company Analysis, Speaking with investors; Start date: 2024-01-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 4; Percentage of total yearly compensation expected to be derived from the business: 0.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Roesser'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

October 30, 2021 - Present

MALATAI CAPITAL LLC

Office #1: 120 Broadway Suite 918, New York, NY 10271

RIA

CRD#: 299975

NEW YORK, NY

Past

October 10, 2011 - June 14, 2012

BROAD STREET SECURITIES GROUP, LLC

CRD#: 153853

NEW YORK, 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".

MALATAI CAPITAL LLC

CRD#: 299975 / SEC#: 801-122574

RIA

Registered Investment Advisory firm - (10/29/2021 Approved)

New York

Registered Investment Advisory firm - (11/8/2021 Terminated)

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).

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
(10/30/2021)

IAR

Texas
(4/2/2024)

IAR

Virginia
(11/16/2021)

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: 10/30/2021

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 56

Date: 10/8/2011

Proprietary Trader Qualification Examination

Current Firm

MALATAI CAPITAL LLC

CRD#: 299975 / SEC#: 801-122574

RIA

Registered Investment Advisory firm - (10/29/2021 Approved)

New York

Registered Investment Advisory firm - (11/8/2021 Terminated)

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Contact information

Main Address

120 Broadway Suite 918, New York, NY 10271

Mailing Address

Phone number

(917) 624-5589

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MALATAI CAPITAL LLC FORM ADV PART 2A BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	33
AUM (Assets Under Management)	$ 70,000,000

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 Roesser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

MALATAI CAPITAL LLC

BROAD STREET SECURITIES GROUP, LLC

Primary Firm SEC Registration

MALATAI CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/30/2021

Series 56

Date: 10/8/2011

Current Firm

MALATAI CAPITAL LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MALATAI CAPITAL LLC

TRUST BUT VERIFY

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