Matthew Bockhorst

CAPITAL ADVISERS

Raleigh, NC 27609

Some features on this profile are disabled

CRD#: 7117274

Professional summary

Matthew Bockhorst is a registered financial advisor currently at CAPITAL ADVISERS, INC. located in Raleigh, North Carolina.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Matthew has worked at 2 firms and has passed the Series 65 exam.

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 Bockhorst'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

November 28, 2023 - Present

CAPITAL ADVISERS, INC.

Office #1: 100 East Six Forks Road, Suite 250, Raleigh, NC 27609

RIA

CRD#: 118442

Raleigh, NC

Past

January 28, 2022 - October 11, 2023

BEACON POINTE ADVISORS, LLC

RIA

CRD#: 119290

Greenville, SC

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".

CAPITAL ADVISERS, INC.

CRD#: 118442 / SEC#: 801-63487

RIA

Registered Investment Advisory firm - (9/3/2004 Approved)

North Carolina

Registered Investment Advisory firm - (1/7/2013 Terminated)

South Carolina

Registered Investment Advisory firm - (8/4/2004 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

North Carolina
(11/28/2023)

IAR

South Carolina
(11/28/2023)

IAR

Texas
(11/28/2023)

IAR

Virginia
(11/28/2023)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/28/2022

Uniform Investment Adviser Law Examination

Current Firm

CAPITAL ADVISERS, INC.

CRD#: 118442 / SEC#: 801-63487

RIA

Registered Investment Advisory firm - (9/3/2004 Approved)

North Carolina

Registered Investment Advisory firm - (1/7/2013 Terminated)

South Carolina

Registered Investment Advisory firm - (8/4/2004 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

100 East Six Forks Road, Suite 250, Raleigh, NC 27609

Mailing Address

Phone number

(919) 865-1930

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL ADVISERS, INC., ADV, BROCHURE, AND SUPPLEMENT, UPDATED JANUARY 31, 2025 (3/31/2025)

CAPITAL ADVISERS, INC., ADV, THE BROCHURE AND SUPPLEMENT, UPDATED JANUARY 31, 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,451
AUM (Assets Under Management)	$ 503,514,000

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.

Similar Advisors

Daniel Conklin

HUNTER STREET INVESTMENT ADVISORS LLC

IAR

Apex, NC

Daniel Braddock

ALMEGA WEALTH MANAGEMENT

IAR

Raliegh, NC

Laird Hepburn

BSG ADVISERS

IAR

Apex, NC

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Matthew Bockhorst

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CAPITAL ADVISERS, INC.

BEACON POINTE ADVISORS, LLC

Primary Firm SEC Registration

CAPITAL ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/28/2022

Current Firm

CAPITAL ADVISERS, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL ADVISERS, INC.

TRUST BUT VERIFY

Similar Advisors