# EDGAR Filing Document

**Accession Number:** 0001816641
**File Stem:** 0001816641-23-000001
**Filing Date:** 2023-1
**Character Count:** 13710
**Document Hash:** d990edabddbd04617b1fe748f34164fc
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001816641-23-000001.hdr.sgml**: 20230210

**ACCESSION NUMBER**: 0001816641-23-000001

**CONFORMED SUBMISSION TYPE**: MA/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230118

**DATE AS OF CHANGE**: 20230210

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Matrix Capital Markets Group, Inc.
- **CENTRAL INDEX KEY:** 0001816641
- **IRS NUMBER:** 541533186
- **STATE OF INCORPORATION:** VA
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-02546
- **FILM NUMBER:** 23608480

**BUSINESS ADDRESS:**
- **STREET 1:** 800 EAST CANAL STREET
- **STREET 2:** SUITE 850
- **CITY:** RICHMOND
- **STATE:** VA
- **ZIP:** 23219
- **BUSINESS PHONE:** 8045912032

**MAIL ADDRESS:**
- **STREET 1:** 800 EAST CANAL STREET
- **STREET 2:** SUITE 850
- **CITY:** RICHMOND
- **STATE:** VA
- **ZIP:** 23219

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** MCMG Capital Advisors, Inc.
- **DATE OF NAME CHANGE:** 20210506

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Matrix Capital Markets Group, Inc.
- **DATE OF NAME CHANGE:** 20200701

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001816641

**Filer CCC:** XXXXXXXX

**Contact Name:** Ashley Duran

**Contact Phone:** 8045912057

**Contact Email:** aduran@matrixcmg.com

**Notification Emails:** aduran@matrixcmg.com, cfortemps@matrixcmg.com, dlambert@matrixcmg.com

### Type of Filing

**Selected Filing Type:** Amendment

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** Matrix Capital Markets Group, Inc.

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 54-1533186

**D. Registrations:**

- **Municipal Advisor:** SEC File No: 867-02546

**E. Principal Office and Place of Business:** 800 E Canal Street, Suite 850, Richmond, VA, 23219

**Telephone Number:** 804-780-0060

**Additional Offices of Employment:**

- **Office #1 (Add):** 400 East Pratt Street, Suite 310, Baltimore, MD, 21202 | Phone: 410-752-3833

- **Office #2 (NewAdd):** 1 Rockefeller Plaza, 10th Floor, New York, NY, 10020 | Phone: 667-217-3316

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.matrixcmg.com

**G. Chief Compliance Officer (CCO):**

**Name:** Cedric Christian Fortemps

**Titles:** Chief Financial Officer

**Address:** 800 E Canal Street, Suite 850, Richmond, VA, 23219

**Phone Number:** 8045912039

**Email:** cfortemps@matrixcmg.com

**H. Business Affiliates:**

- **Name:** MCMG Capital Advisors, Inc.

  - **Issuing Agency:** Securities Exchange Commission

  - **Jurisdiction:** VA

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Other (—)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** VA

**D. Date of Organization:** 12-16-1988

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 34

**B. Municipal Advisory Activities - Employees:** 3

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 3

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 0

**&nbsp;&nbsp;&nbsp;Types of Clients:** Other

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Fixed Fees
Contingent Fees
, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Use Of MD, Advice On Selection

### Item 5: Other Business Activities

**Is applicant engaged in any other non-municipal advisor business?** Yes

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer

**Total Associated Persons:** 2

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** Yes

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** No

- **Compensate any person for client referrals?:** Yes

- **Receive compensation from any person for client referrals?:** Yes

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** No

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** No

- **SEC/CFTC Imposed Civil Penalty?:** No

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** No

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** Yes

### Schedule A: Direct Owners and Executive Officers

| Name                      | Title/Status           | Date Acquired   | Ownership Code            | Control Person?   |   CRD Number |
|:---|:---|:---|:---|:---|---:|
| Thomas Eugene Kelso       | Shareholder, CCO       | 01-01-2010      | B - 10% but less than 25% | Yes               |      5785423 |
| Spencer Paul Cavalier     | Shareholder, Secretary | 01-01-2010      | C - 25% but less than 50% | Yes               |      4556912 |
| Cedric Christian Fortemps | Shareholder, CFO       | 01-01-2010      | C - 25% but less than 50% | Yes               |      4493145 |
| Miles Vance Saunders      | Shareholder            | 01-01-2015      | B - 10% but less than 25% | No                |      5566711 |
| Sean Patrick Dooley       | Owner                  | 01-01-2018      | A - 5% but less than 10%  | No                |      5835354 |
| John Cooper Duni          | Owner                  | 01-01-2021      | NA - less than 5%         | No                |      6261936 |
| Jeffrey Keith Harpel      | FinOp                  | 10-01-2018      | NA - less than 5%         | No                |      1367784 |
| Andrew Anthony LoPresti   | Owner                  | 01-01-2020      | NA - less than 5%         | No                |      6120756 |
| William James O'Flaherty  | Owner                  | 01-01-2018      | NA - less than 5%         | No                |      5159113 |
| David Wilson Shoulders    | Owner                  | 12-01-2012      | NA - less than 5%         | No                |      4688086 |
| John James Underwood      | Owner                  | 12-01-2012      | NA - less than 5%         | No                |      5908874 |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity   | Name                       | Title/Status                      | Date Acquired   | Ownership Code            | Control Person?   |   CRD Number |
|:---|:---|:---|:---|:---|:---|:---|:---|---:|
| Delete | Direct      |  | Thomas Eugene Kelso        | Shareholder, CCO                  | 01-01-2010      | B - 10% but less than 25% | Yes               |      5785423 |
| Amend  | Direct      |  | Spencer Paul Cavalier      | Shareholder, Secretary, President | 01-01-2010      | C - 25% but less than 50% | Yes               |      4556912 |
| Amend  | Direct      |  | Cedric Christian Fortemps  | Shareholder, CFO, CCO             | 01-01-2010      | C - 25% but less than 50% | Yes               |      4493145 |
|  | Direct      |  | Miles Vance Saunders       | Shareholder                       | 01-01-2015      | B - 10% but less than 25% | No                |      5566711 |
|  | Direct      |  | Sean Patrick Dooley        | Owner                             | 01-01-2018      | A - 5% but less than 10%  | No                |      5835354 |
|  | Direct      |  | John Cooper Duni           | Owner                             | 01-01-2021      | NA - less than 5%         | No                |      6261936 |
|  | Direct      |  | Jeffrey Keith Harpel       | FinOp                             | 10-01-2018      | NA - less than 5%         | No                |      1367784 |
|  | Direct      |  | Andrew Anthony LoPresti    | Owner                             | 01-01-2020      | NA - less than 5%         | No                |      6120756 |
|  | Direct      |  | William James O'Flaherty   | Owner                             | 01-01-2018      | NA - less than 5%         | No                |      5159113 |
|  | Direct      |  | David Wilson Shoulders     | Owner                             | 12-01-2012      | NA - less than 5%         | No                |      4688086 |
|  | Direct      |  | John James Underwood       | Owner                             | 12-01-2012      | NA - less than 5%         | No                |      5908874 |
| NewAdd | Direct      |  | Stephen Christopher Lynch  | Owner                             | 01-01-2023      | NA - less than 5%         | No                |      6020660 |
| NewAdd | Direct      |  | David Lee Corbett          | Owner                             | 01-01-2023      | NA - less than 5%         | No                |      4887552 |
| NewAdd | Direct      |  | Vasanta Bhairavi Pundarika | Owner                             | 01-01-2023      | NA - less than 5%         | No                |      5189077 |
| NewAdd | Direct      |  | Amanda Kay Verner Thompson | Owner                             | 01-01-2023      | NA - less than 5%         | No                |      5189022 |
| NewAdd | Direct      |  | Casey NMN Van De Walle     | Owner                             | 01-01-2023      | NA - less than 5%         | No                |      5814817 |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Matrix Private Equities, Inc.

- **CRD Number:** 103871

- **Disclosure Number:** 1742968

### Execution Page

**Signature:** Cedric Fortemps

**Signer Name:** Cedric Fortemps

**Title:** Chief Compliance Officer

**Date:** 01-18-2023