Matrix Planning, Inc.


SEC file # 801-26943, CIK # 0000791077.


Matrix Planning, Inc. is listed as one of several initial investors in Hudson River Valley Resorts on the submission made to the Rosendale Town Board on 20 Nov 2007.  [The name on that submission incorrectly appears as 'Matrix Planning, LLC'.]


Matrix Planning, Inc. was apparently formed in 19861 by Roberta Jean Smith. It is a registered investment advisor organized under the laws of California and the registration application states that it is a corporation organized in that state.  The California Secretary of State agrees

Shawn Anthony Smith is listed as Vice President, starting in 2000. 

The company has $90,000,000 in assets under management on behalf of 25 or fewer clients, as of 24 Mar 2009. 


No activity related to Hudson River Valley Resorts has been detected, in spite of the assertion that this company is an investor in it, however see Roberta Jean Smith.

Prior activity of Matrix Planning includes the solicitation of clients to invest in one or more of the following private funds, as reported on 9 Dec 2008:

Company Percentage of clients investing Current value of LLC Proceeds used for
ENERGY INVESTORS GROUP, L.L.C. 50% $1,000,000 No SEC records
CYBER VENTURES, L.L.C. 50% $1,000 No SEC records
POWER VENTURES, L.L.C. 90% $3,150,000 No SEC records
POWER VENTURES II, L.L.C. 90% $2,875,000 No SEC records
POWER VENTURES IV, L.L.C. 25% $1,500,000 No SEC records
POWER VENTURES V, L.L.C. 25% $1,000,000 No SEC records
POWER VENTURES VI, L.L.C. 90% $5,150,000 Investment in Zinc Matrix Power, Inc (silver-zinc rechargeable batteries)
VIRTUAL VENTURES, L.L.C. 90% $3,600,000 Investment in AvaWorks, Inc (talking head communications)
VIRTUAL VENTURES II, L.L.C. 90% $2,750,000 Investment in AvaWorks, Inc (talking head communications)
VIRTUAL VENTURES III, L.L.C. 25% $3,400,000 Investment in AvaWorks, Inc (talking head communications)
VIRTUAL VENTURES IV, L.L.C. 90% $500,000 Investment in GoTV Networks, Inc (mobile media)
OPTIMAL VENTURES V, L.L.C. 50% $1,500,000 Investment in Tamarac, Inc (web-based portfolio management software for financial advisors)

The general partner in each of the above funds is Roberta Jean Smith.  The minimum investment in each case is $1000 (although the REGDEX filings for some of the funds show a minimium of $100,000).

Contact information

3015 Main Street
Suite 403
Santa Monica, CA 90405

Other businesses possibly at this address (20 Jan 2014):
Baker Brand, Suite 300 (Corporate brand consultants)
Gladstein,Neandross & Associates, Suite 300 (, clean energy fuel advocates) [apparently moved to 2525 Ocean Park Boulevard, Suite 200 Santa Monica, CA 90405]
Phil Lempert,, Suite 320
Consumer Insight, Inc., Suite 320
The Food Journal, Suite 320
Outcast Media, Suite 333 (gas pump video entertainment)
21 Griots Record Co., Suite 333 (audio visual equipment) [YELP reports this location as closed]
Reach Media (us), Suite 350 (advertising consultant)
Myriad Pictures, Suite 400
Alive Entertainment, Suite 400
Cyber Oasys Corp., Suite 403 [Unverified. Found a company with this name in Naperville, IL]
GoTV Investment Fund (C-1), LLC, Suite 403
VeraSprite (AvaWorks, Inc.), Suite 450 (video avatar) [This suite also listed as currently For Lease @ $900/mo]
LA Urban Fitness, Suite B
All Auto Glass
Haspell Communications
Headquarters (beauty supplies)
Kids WB!
No Opportunity (theatrical producers and services)
Nola Enders Game Production
Threedpaint & FX (painting contractors)

(310) 399-0457


  1. The registration statement, Schedule A ("Matrix Planning" must be entered in the 'Firm Name' field) The registration statement contains CRD numbers for both Roberta and Shawn that are not recognized by FINRA.  They are: Roberta: 1066837, Shawn: 4394326IARD # 110812says that Roberta Jean Smith became President of the company in April 1986.  No evidence has been found of any earlier existence of the company.

Last updated 24 Jan 2014.

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