Matthew Thomas Sweeney

Employer firm

William Joseph Capital Management, Inc. CRD 226535

$694M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2015 → Present
  William Joseph Capital Management Llc
  Bristol, CT
• 05/2015 → Present
  Wealth Preservation Specialists, Llc
  Bristol, CT
• 01/2019 → 01/2019
  E&S Holdings
  Crescent Springs, KY

Previous Registrations

• 2011-10-07 → 2015-04-20
  Virtus Investment Advisers, Llc
  Hartford, CT
• 2010-08-25 → 2011-03-08
  Morgan Stanley
  Hartford, CT
• 2009-11-16 → 2010-07-23
  Msi Financial Services, Inc.
  Glastonbury, CT

Other Businesses

1) Wealth Preservation Specialist, LLC (dba Willam Joseph insurance)- part owner. vehicle for sharing insurance revenue between the two owners. not investment-related. Does not sell or service insurance products. Started Sep 2015. 10 hours per month. 2) Investipal, Inc. - advisor. startup in Toronto, Ontario. Investment-related. provides advisory services for a new venture and sits on the advisory board. Started Aug 2024. 5 hours per month 3) William Joseph Tax Strategies, Inc.; not investment-related. 210 Redstone Hill Road, Suite 5, Bristol, CT. 06010. Provides tax advice and tax preparation services. Part-owner; started July 1, 2025. Devote 4 hours per month during trading hours. Managing partner, but does not participate in the company's day-to-day activities.

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-10-27
• S63 Uniform Securities Agent State Law Examination
  2009-09-29

Other Names

• Matthew Sweeney
• Matt Sweeney