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PG

Parveen Gupta

MATTERN CAPITAL MANAGEMENT
Lakewood, CO 80228
Some features on this profile are disabled
CRD#: 7710700
PG

Professional summary

Parveen Gupta is a registered financial advisor currently at MATTERN CAPITAL MANAGEMENT, LLC located in Lakewood, Colorado.

Parveen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Parveen has worked at 1 firm 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 Parveen Gupta'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

March 22, 2023 - Present

MATTERN CAPITAL MANAGEMENT, LLC

Office #1: 165 S. Union Blvd Suite 780, Lakewood, CO 80228
RIA
CRD#: 299342
Lakewood, CO

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".
MATTERN CAPITAL MANAGEMENT, LLC
MATTERN CAPITAL MANAGEMENT, LLC
MATTERN CAPITAL MANAGEMENT, LLC

CRD#: 299342 / SEC#: 801-114522

RIA
Registered Investment Advisory firm - (1/28/2019 Approved)

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
Colorado
(3/22/2023)
IAR
Texas
(3/10/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/15/2022
Uniform Investment Adviser Law Examination

Current Firm

MATTERN CAPITAL MANAGEMENT, LLC
MATTERN CAPITAL MANAGEMENT, LLC
MATTERN CAPITAL MANAGEMENT, LLC

CRD#: 299342 / SEC#: 801-114522

RIA
Registered Investment Advisory firm - (1/28/2019 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
165 S. Union Blvd Suite 780, Lakewood, CO 80228
Mailing Address
Phone number
(720) 710-2934
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MATTERN CAPITAL FORM ADV PART 2A (3/12/2026)

Regulatory assets under management

Total Number of Accounts1,244
AUM (Assets Under Management)$ 1,073,680,572

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.

Company Information

MATTERN CAPITAL MANAGEMENT, LLC

MATTERN CAPITAL MANAGEMENT, LLC

CRD#: 299342Lakewood, CO 80228

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