Berkeley Advisors, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Berkeley Advisors serves individual and high-net-worth clients, as well as trusts and estates, providing ongoing financial planning and discretionary portfolio management. The firm oversees roughly $125 million for about 81 clients and, like many peers, delivers advice primarily through asset-based advisory relationships and tailored portfolio construction.
The firm’s investment approach emphasizes diversified, Modern Portfolio Theory–based asset allocation implemented mainly with mutual funds and ETFs, supplemented as appropriate with individual equities, bonds, and derivative instruments such as options and futures. Accounts are generally managed on a discretionary basis and, when appropriate, clients may gain access to specialized strategies through separately managed account managers.
Noteworthy distinctions include operating its own Wrap Fee Program as the program sponsor, which combines management and brokerage expenses into a single inclusive fee and is disclosed as creating potential incentives regarding trading and custodial transaction costs. The brochure also discloses the use of derivatives within the firm’s toolset and the possibility that separately managed accounts or third‑party managers may employ such instruments, and it offers fixed-dollar planning arrangements for clients with limited assets — practices that are less common among similarly structured supported firms.
Client services
Expertise
Fee options
$250 to $10,000 depending on scope and complexity of services.
$0 - $249,999: X% $250,000 - $499,999: Y% $500,000+:
Associated persons earn commissions from insurance product sales separate from advisory fees.
Ongoing monthly or annual fixed fee for financial planning services with minimum one-year agreement.
Main office
9 Lenox Pointe, N.E., Suite B
Atlanta GA 30324-7412
Advisors at this office
2
Most active in
Georgia · Louisiana · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Allan M
CFP®, Series 65
Atlanta, GA
Berkeley Advisors, Inc.
Allan Mathis is a CFP® and Series 65-licensed financial advisor with seven years of industry experience. He has been with Berkeley Advisors, Inc. since 2019. Outside of his advisory role, Mathis volunteers as a youth soccer coach and serves as an on-site property manager and secretary for HamLam Properties, LLC. Berkeley Advisors serves individual and high-net-worth clients, as well as trusts and estates, providing ongoing financial planning and discretionary portfolio management. The firm employs a diversified, Modern Portfolio Theory–based investment approach using mutual funds, ETFs, and selected individual securities, and operates its own Wrap Fee Program.
Catherine M
CFP®, Series 66
Atlanta, GA
Berkeley Advisors, Inc.
Catherine Mathis is a CFP® professional with 20 years of experience in the financial services industry. She is affiliated with Berkeley Advisors, Inc., where she has worked since 2004, and previously spent 12 years at ProEquities, Inc. Outside of her advisory role, she is an author of historical fiction, including a novel set in medieval Portugal titled *Death in Coimbra*. Berkeley Advisors is a small, supported registered investment adviser serving individuals, trusts, and estates with discretionary portfolio management and financial planning. The firm employs a planning-first approach based on Modern Portfolio Theory, using primarily mutual funds and ETFs alongside individual securities and derivatives when suitable.
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