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RIA / WealthAdvisor30 years in industry

WILLIAM DAVID PIKE

Advisor at NEW ENGLAND FINANCIAL SERVICES

FALMOUTH, ME

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Search this name across graphsid dfx:ria:e2d38831-7245-a7ee-8e8e-8d63cc6e1fe9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 31, 2018 to Sep 14, 2026

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

Current firm: NEW ENGLAND FINANCIAL SERVICES
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 3, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jun 3, 1996
First registration: May 31, 2018
Dual registered: no
Other names: WILLIAM PIKE|BILL PIKE
IAPD individual key: 2691598

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NEW ENGLAND FINANCIAL SERVICES	State registered	May 16, 2023	n/a	yes	FALMOUTH, ME	Current employment
FOUNDATIONS INVESTMENT ADVISORS LLC	Independent wealth	Jan 13, 2022	Mar 20, 2024	no	Falmouth, ME\|PHOENIX, AZ	Previous registration
IAMS WEALTH MANAGEMENT, LLC	Independent wealth	Dec 4, 2018	Dec 31, 2021	no	Falmouth, ME\|OMAHA, NE	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	May 31, 2018	Dec 12, 2018	no	FALMOUTH, ME\|DES MOINES, IA\|Falmouth, ME	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FOUNDATIONS INVESTMENT ADVISORS LLC	NEW ENGLAND FINANCIAL SERVICES	Mar 20, 2024	May 16, 2023	-309	Firm change after gap	RIA to state RIA
IAMS WEALTH MANAGEMENT, LLC	FOUNDATIONS INVESTMENT ADVISORS LLC	Dec 31, 2021	Jan 13, 2022	13	Firm change	RIA to RIA
PRINCIPAL SECURITIES, INC.	IAMS WEALTH MANAGEMENT, LLC	Dec 12, 2018	Dec 4, 2018	-8	Firm change	Ibd to RIA

Relationships

Registered with (4)

→ NEW ENGLAND FINANCIAL SERVICESRegistered adviserregistration: current employment
May 16, 2023 to presentfactForm ADV
→ FOUNDATIONS INVESTMENT ADVISORS LLCRegistered adviserregistration: previous registration
Jan 13, 2022 to Mar 20, 2024factForm ADV
→ IAMS WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 4, 2018 to Dec 31, 2021factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
May 31, 2018 to Dec 12, 2018factForm ADV

Dated events

Occurred
Mar 20, 2024
Advisor changed firm
William David Pike left Foundations Investment Advisors Llc for New England Financial Services (registered 2023-05-16)
Form ADVobserved 6 days ago