Unclaimed Profile

Matthew Jones Fannin

ALPHA WEALTH MANAGEMENT AND PLANNING LLC·NOVATO, California

SIE, Series 7, Series 6627 years registeredALPHA WEALTH MANAGEMENT AND PLANNING LLC

350 IGNACIO BLVD, NOVATO, CA 94949CRD# 3166145Firm CRD# 163917

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Matthew Jones Fannin · NOVATO, CA

Registration

CRD #3166145 · ALPHA WEALTH MANAGEMENT AND PLANNING LLC · 27 years registered

Brand Profile

Not yet started

Career History

GLOBAL ASSETS ADVISORY, LLC

Feb 2026 – present

INTERNATIONAL ASSETS ADVISORY, LLC

Feb 2026 – present

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

Feb 2026 – present

LPL FINANCIAL LLC

Feb 2026 – Feb 2026

SANTA ROSA, CA

ADVISOR RESOURCE COUNCIL

May 2025 – Feb 2026

Santa Rosa, CA

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

Jul 2012 – Jul 2025

NOVATO, CA

AMERIPRISE FINANCIAL SERVICES, INC.

May 1999 – Aug 2012

SANTA ROSA, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 66

Registration record

First registered · May 17, 1999

Years registered · 27

Disclosure History

2023Judgment / Lien

2021Judgment / Lien

2020Judgment / Lien

2011Customer Dispute·Denied

9 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

CRD 163917 · SEC 801-108554

AUM

$303M

Regulatory assets under management

Employees

1,332 client accounts

Services offered by ALPHA WEALTH MANAGEMENT AND PLANNING LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at ALPHA WEALTH MANAGEMENT AND PLANNING LLC →

Introduction

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Frequently Asked Questions

What services does Matthew Jones Fannin offer?

Matthew Jones Fannin specializes in Financial Planning, Investment Management. Contact their office in NOVATO, California for a consultation.

What are Matthew Jones Fannin's credentials?

Matthew Jones Fannin is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Matthew Jones Fannin located?

Matthew Jones Fannin is based in NOVATO, California, working with ALPHA WEALTH MANAGEMENT AND PLANNING LLC. Their office serves clients in the NOVATO metropolitan area and surrounding communities.

How does Matthew Jones Fannin charge for services?

Matthew Jones Fannin's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ALPHA WEALTH MANAGEMENT AND PLANNING LLC?

ALPHA WEALTH MANAGEMENT AND PLANNING LLC has approximately 8 employees and manages $303M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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