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Matthew Mundy

Independent Financial Group, LLC
21 Years of Experience
Chandler, AZ
4 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Matthew Mundy is a registered investment advisor at Independent Financial Group, LLC, based in Chandler, AZ, with 21 years of industry experience. Matthew is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 9 more. Their firm serves 26,635 clients with $13B in assets under management.

Independent Financial Group, LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
541 advisors
Number of Clients
26,635 clients
Average Client Portfolio
$485K average
Assets Under Management
$12.9B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Up to $250K2.00%
$250K - $500K2.00%
$500K - $1.0M2.00%
$1.0M - $2.0M2.00%
$2.0M - $5.0M2.00%
$5M+2.00%

Maximum advisor fee is shown; program fees (0.04% to 0.16%) and transaction charges may apply depending on the selected program. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3910 S Alma School Rd, Ste. 8, Chandler, AZ, 85248

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
April 2020
Customer Dispute
November 2014
Denied
Customer Dispute
August 2011
Closed-No Action
Customer Dispute
April 2009
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Matthew uses "Planning Solutions" as a DBA to separate his financial planning from Living Trust preparation, dedicating minimal time to this. He also works as an insurance agent selling fixed insurance products and moderates focus groups about public perception of insurance and investment programs, spending minimal time on each activity.

Employment History
Current Registrations
Independent Financial Group, LLC
May 2020 - Present · 6 yrs 5 mos
Independent Financial Group, LLCBroker
May 2020 - Present · 6 yrs 5 mos
Previous Registrations
LPL Financial LLC
March 2016 - May 2020 · 4 yrs 2 mos
LPL Financial LLCBroker
March 2016 - May 2020 · 4 yrs 2 mos
Kalos Management
March 2015 - March 2016 · 1 yr
Kalos Capital, INC.Broker
March 2015 - March 2016 · 1 yr
MML Investors Services, LLCBroker
February 2015 - March 2015 · 1 mo
MML Investors Services, LLC
May 2013 - January 2015 · 1 yr 8 mos
MML Investors Services, LLCBroker
April 2013 - January 2015 · 1 yr 9 mos
LPL Financial LLC
February 2011 - November 2012 · 1 yr 9 mos
LPL Financial LLCBroker
February 2011 - November 2012 · 1 yr 9 mos
Eagle Strategies LLC
June 2006 - January 2011 · 4 yrs 7 mos
Nylife Securities LLCBroker
October 2004 - January 2011 · 6 yrs 3 mos
State Registrations15 states
AZCAFLIDILMIMNMTNCOHOKORPRSDVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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