Important regulatory and legal information

Disclosures

Status: DRAFT — pending review and approval by legal counsel and the firm's Chief Compliance Officer. This wording is provided as a working placeholder and must not be treated as final or relied upon until approved.

Firm & Registration

Mathis Wealth Management is an investment adviser registered with the U.S. Securities and Exchange Commission (SEC), CRD #172858. Registration with the SEC does not imply a certain level of skill or training, nor does it constitute an endorsement of the firm by the SEC.

The firm maintains offices in Phoenix, Arizona and Ventura, California. Advisory custody services are provided through Charles Schwab & Co., Inc. and Axos Advisor Services. Securities are offered through United Planners Financial Services of America, Member FINRA/SIPC. Mathis Wealth Management and United Planners are not affiliated companies.

Form CRS & Form ADV

Our Client Relationship Summary (Form CRS) and Form ADV Part 2A (the “brochure”) describe our services, fees, conflicts of interest, and the standard of conduct we are held to. These documents are available on request and are filed with the SEC.

  • Form CRS (Client Relationship Summary) — [document link pending]
  • Form ADV Part 2A (Firm Brochure) — [document link pending]
  • Form ADV Part 2B (Brochure Supplement) — [document link pending]
  • SEC Investment Adviser Public Disclosure — adviserinfo.sec.gov (search CRD #172858)

No Guarantee; Insurance Coverage

Investing involves risk, including the possible loss of principal. Past performance is not indicative of future results. No assurance can be given that any investment strategy will achieve its objectives.

Advisory services are not bank deposits, are not insured by the Federal Deposit Insurance Corporation (FDIC), and are not protected against investment loss by the Securities Investor Protection Corporation (SIPC). SIPC protection applies to certain custody functions of member broker-dealers and does not protect against a decline in the market value of investments or the performance of advisory services.

Privacy Notice (Regulation S-P)

Consistent with Regulation S-P, Mathis Wealth Management maintains policies to protect the confidentiality and security of nonpublic personal information. We collect information necessary to provide advisory services and do not sell client information. A full description of our information practices is set out in our Privacy Policy. [Detailed Reg S-P notice pending CCO approval.]

“Ask Mathis” Educational Assistant

“Ask Mathis” is an automated tool that provides general financial education only. It does not provide personalized investment, legal, tax, or accounting advice, and its responses do not create an advisory relationship. Information generated by the assistant may be incomplete or inaccurate and should not be relied upon as a basis for any financial decision. For advice specific to your situation, please contact us to speak with a qualified professional.

Questions

For questions about these disclosures or to request any of the documents referenced above, please contact the firm. Firm contact details are being finalized: [Firm phone — pending] · [Firm email — pending].