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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

WILLIAM LOUIS ASHER

Advisor at VANGUARD ADVISERS, INC.

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:e5eb2d93-4b26-5c87-e597-4ae9250bd451

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 1, 2003 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: VANGUARD ADVISERS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 20, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Oct 20, 1992
First registration: Apr 1, 2003
Dual registered: yes, broker-dealer
Other names: BILL ASHER|WILLIAM Louis ASHER|WILLIAM ASHER
IAPD individual key: 2282700

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
VANGUARD ADVISERS, INC.	Bd affiliated wealth	Jun 6, 2022	n/a	yes	SCOTTSDALE, AZ	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 14, 2008	Dec 17, 2009	no	BELLINGHAM, WA\|BELLINGHAM, WA\|SEDRO-WOOLEY, WA\|BELLINGHAM, WA\|BLAIR, WA\|SEATTLE, WA\|FERNDALE, WA\|LYNDEN, WA\|ANACORTES, WA\|BELLINGHAM, WA\|BELLINGHAM, WA\|EVERSON, WA\|POULSBO, WA\|SILVERDALE, WA\|KIRKLAND, WA\|OAK HARBOR, WA\|BURLINGTON, WA\|LYNDEN, WA\|SNOHOMISH, WA\|EVERETT, WA\|MT. VERNON, WA\|COUPERVILLE, WA\|MILL CREEK, WA\|WENATCHEE, WA\|EAST WENATCHEE, WA\|WENATCHEE, WA\|MT. VERNON, WA\|LYNDEN, WA\|SEATTLE, WA	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Sep 27, 2006	Oct 3, 2008	no	JERSEY CITY, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 21, 2004	May 5, 2005	no	BELLEVUE, WA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Jul 9, 2003	Jun 3, 2004	no	SEATTLE, WA	Previous registration
IMS CAPITAL MANAGEMENT	Former SEC adviser	Apr 1, 2003	Jun 16, 2003	no	PORTLAND, OR	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
LPL FINANCIAL LLC	VANGUARD ADVISERS, INC.	Dec 17, 2009	Jun 6, 2022	4,554	Firm change after gap	Other
E*TRADE CAPITAL MANAGEMENT, LLC	LPL FINANCIAL LLC	Oct 3, 2008	Oct 14, 2008	11	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	E*TRADE CAPITAL MANAGEMENT, LLC	May 5, 2005	Sep 27, 2006	510	Firm change after gap	Other
WAMU INVESTMENTS, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 3, 2004	May 21, 2004	-13	Firm change	Other
IMS CAPITAL MANAGEMENT	WAMU INVESTMENTS, INC.	Jun 16, 2003	Jul 9, 2003	23	Firm change	Other

Relationships

Registered with (6)

→ VANGUARD ADVISERS, INC.Registered adviserregistration: current employment
Jun 6, 2022 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 14, 2008 to Dec 17, 2009factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 27, 2006 to Oct 3, 2008factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 21, 2004 to May 5, 2005factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Jul 9, 2003 to Jun 3, 2004factForm ADV
→ IMS CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
Apr 1, 2003 to Jun 16, 2003factForm ADV

Dated events

No dated event names this entity yet.