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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

MONTGOMERY WEALTH MANAGEMENT, LLC

CRD 299231

MORRISTOWN, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c16e2fc5-b87d-04c8-a3af-de6365682ceb

Data as of Jun 13, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jan 2, 2019 to Jun 13, 2019
4 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0Item 5.F on the latest filing (2019-06-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 0
Individual clients: 0
High net worth clients: 0
SEC number: 801-114655
CRD: 299231
Filings on the tape: 4
First filed: Jan 2, 2019
Latest filed: Jun 13, 2019
Organised: Limited Liability Company, New Jersey

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
SHINNERS, WILLIAM, JAMES	MEMBER, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER	E	yes	03/2018	Jan 2, 2019	Jun 13, 2019

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MORGAN STANLEY	2	Apr 18, 2019	Nov 20, 2019	MORRISTOWN, NJ	Team lift out	Wirehouse to new firm	0.0%

Relationships

Affiliated with (1)

← HARDING WEALTH ASSOCIATES LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (1)

← SHINNERS, WILLIAM, JAMESOwnerMEMBER, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jan 2, 2019 to presentfactForm ADV

Registered with (3)

← William ShinnersAdvisorregistration: previous registration
Feb 13, 2019 to Dec 12, 2022factForm ADV
← Eileen Elizabeth KainAdvisorregistration: previous registration
Nov 20, 2019 to Dec 10, 2021factForm ADV
← MICHAEL JOSHUA VACCAROAdvisorregistration: previous registration
Nov 18, 2019 to Dec 10, 2021factForm ADV

Moved with (1)

← MORGAN STANLEYRegistered adviser2 advisors, team lift out, same day
Apr 18, 2019 to Nov 20, 2019factForm ADV

Dated events

Occurred
Dec 12, 2022
Advisor changed firm
William Shinners left Montgomery Wealth Management, Llc for Harding Wealth Associates Llc (registered 2019-08-23)
Form ADVobserved 6 days ago
Occurred
Jan 2, 2019
First Form ADV filing
Montgomery Wealth, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c16e2fc5-b87d-04c8-a3af-de6365682ceb
First observed: Jan 2, 2019
Last observed: Jun 13, 2019 88 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MONTGOMERY WEALTH MANAGEMENT, LLC

CRD 299231

MORRISTOWN, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c16e2fc5-b87d-04c8-a3af-de6365682ceb

Data as of Jun 13, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:26 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SHINNERS, WILLIAM, JAMES

MEMBER, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER

yes

03/2018

Jan 2, 2019

Jun 13, 2019

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MORGAN STANLEY

Apr 18, 2019

Nov 20, 2019

MORRISTOWN, NJ

Team lift out

Wirehouse to new firm

0.0%