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Allan Taylor Mathis

Allan Taylor Mathis

CFP®
BERKELEY ADVISORS
ATLANTA, GA
·CRD# 7147849·7 years experience

Professional Summary

Allan Taylor Mathis, CFP®, who also goes by Allan Mathis, is a registered financial advisor currently at BERKELEY ADVISORS, INC. located in Atlanta, Georgia. Allan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Allan has worked at 1 firm and has passed the Series 65 exam.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Allan Mathis

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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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Credentials

CFP®
Certified Financial PlannerSince 2021

Years of Experience

7 years in the financial services industry

Current & Past Employments

BERKELEY ADVISORS, INC.·CRD# 134455
RIA
9 Lenox Pointe, N.e., Suite B, Atlanta, GA 30324-7412
September 3, 2019 - Present

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Current Firm

BA
BERKELEY ADVISORS, INC.

BERKELEY ADVISORS, INC.

CRD#: 134455 / SEC#: 801-131712
RIA
Registered Investment Advisory firm - SEC (12/26/2024 Approved)
Georgia
Registered Investment Advisory firm - Georgia (1/23/2025 Terminated)
Louisiana
Registered Investment Advisory firm - Louisiana (1/3/2025 Terminated)
Texas
Registered Investment Advisory firm - Texas (1/3/2025 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).

Contact Information

Main Address

9 Lenox Pointe, N.e., Suite B, Atlanta, GA 30324-7412

Phone Number

(404) 580-9560

# of Employees

2

SEC notice filing (3 States and Territories)

Registered to provide investment advisory services in 3 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

17 JAN 2025 ADV BROCHURE FORM 2A + 2B + WRAP FEE - BERKELEY ADVISORS INC. (2/5/2026)

Regulatory Assets Under Management

Total Number of Accounts

314

AUM (Assets Under Management)

$125,345,440

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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)HamLam Properties, LLC. Description of the Business: Provide an office location for Berkeley Advisors, Inc. with excess space rented to other businesses if appropriate. Position: On site property manager, and Secretary. Duties: Monitor and manage the physical building at 9 Lenox Pointe NE, Suite B. The tenant is Berkeley Advisors, Inc., the RIA employing Allan Taylor Mathis. Annually arrange and document entity meeting. Investment Related: No. Compensation: None. Hours Per Month During Trading Hours: 0. Hours Per Month Outside of Trading Hours: 5. Start Date: 01.03.2022. Address: 9 Lenox Pointe NE, Suite B, Atlanta, GA 30324-7412. 2)Lenox Point 9 Condominium Association, Inc. Description of the Business: Condominium Association for a 2-unit building in order to obtain property insurance for the building. Position: Secretary. Investment Related: No. Duties: Annually hold a corporation meeting and record minutes. Compensation: None. No. Hours Per Month During Trading Hours: 0. Hours Per Month Outside of Trading Hours: 1. Start Date: 12. 10.2021. Address: 9 Lenox Pointe NE, Suite B, Atlanta, GA 30324-7412. 3)Tophat Soccer. Description of the Business: Privately run youth soccer organization. Position: Volunteer coach. Investment Related: No. Duties: In fall and spring co-coach a soccer team. Compensation: None. No. Hours Per Month During Trading Hours: 0. Hours Per Month Outside of Trading Hours: 4. Start Date: 09. 09.2019. Address: 500 Farifield Road, NW, Atlanta, GA 30327. 4)Notary Public. Description of the Business: An accommodating service to notarize documents when requested or necessary but not a product or service advertised. Position: Notary Public. Investment Related: No. Duties: Follow rules and regulations for notarizing documents. Compensation: None. No. of Hours Per Month During Trading Hours: 0.10. Hours Per Month Outside of Trading Hours: 0. Start Date: 11.05.2021. Address: 9 Lenox Pointe NE, Suite B, Atlanta, GA 30324-7412.

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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".
BA
BERKELEY ADVISORS, INC.

BERKELEY ADVISORS, INC.

CRD#: 134455 / SEC#: 801-131712
RIA
Registered Investment Advisory firm - SEC (12/26/2024 Approved)
Georgia
Registered Investment Advisory firm - Georgia (1/23/2025 Terminated)
Louisiana
Registered Investment Advisory firm - Louisiana (1/3/2025 Terminated)
Texas
Registered Investment Advisory firm - Texas (1/3/2025 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.
IAR
Georgia
(9/3/2019)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 2019About the Series 65 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Allan Taylor Mathis's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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Allan Taylor Mathis
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