Wealth manager, independent · Santa Monica, CA
Matrix Planning Inc
SEC-registered investment adviser · CRD 110812 · SEC 801-26943
At a glance
Matrix Planning Inc is an SEC-registered investment adviser based in Santa Monica, California, with $121 million in regulatory assets under management as of its Form ADV filed April 1, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 16 individual clients. By Form ADV it is a wealth manager, ranked 7,666th of 8,915 wealth managers and 14,667th of 17,210 SEC-registered advisers by assets.
Main office 310-399-0457As filed on Form ADV
- Regulatory AUM
- $121M
- Rank among wealth managers
- #7,666 of 8,915
- Rank among all SEC RIAs
- #14,667 of 17,210
- Rank in California
- #1,655 of 1,873
- Individual clients
- 16
- High-net-worth clients
- 15
- Accounts
- 82
- Discretionary
- 83% of AUM
- Employees
- 4
- Advisory staff
- 1
- Offices
- 1
Owners and executives on its Form ADV
- Roberta J. SmithPresident/chief Compliance Officer
- Shawn A. SmithShareholder
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 15 | $119M | 98% |
| Pooled investment vehicles | 1 | $2M | 1% |
| Individuals | 1 | $1M | <1% |
Private funds
Matrix Planning Inc reports 1 private funds with $3M in gross assets: real estate funds (Form ADV Item 7.B).
Disciplinary disclosures
Matrix Planning Inc reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
How it’s paid
- Hourly charges
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on Matrix Planning Inc
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 4,807 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Matrix Planning Inc manage?
Matrix Planning Inc reports $121 million in regulatory assets under management across 82 accounts, 83% of it on a discretionary basis, on its Form ADV filed April 1, 2026.
What kind of firm is Matrix Planning Inc?
Matrix Planning Inc is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Matrix Planning Inc’s clients?
By assets, its largest client types are high-net-worth individuals ($119 million, 15 clients); pooled investment vehicles ($2 million, 1 clients); individuals ($832,104, 1 clients).
Does Matrix Planning Inc manage private funds?
Yes. It reports 1 private funds with $3 million in gross assets, including real estate funds.
Does Matrix Planning Inc have any disciplinary history?
Matrix Planning Inc reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Matrix Planning Inc’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-04-01), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →