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CRD 125073
DALLAS, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| W.H. WILLIAMS FAMILY L.P. | Owner | E | yes | 11/2002 | Feb 3, 2012 | Sep 6, 2017 |
| WILLIAMS FINANCIAL GROUP, INC. | GENERAL PARTNER | E | yes | 04/2013 | Feb 10, 2015 | Sep 6, 2017 |
| WILLIAMS, DAVID, WILSON | PRESIDENT/CHIEF COMPLIANCE OFFICER | Na | yes | 09/2007 | Feb 3, 2012 | Sep 6, 2017 |
| KERN, EDWARD, RICHARD | CHIEF FINANCIAL OFFICER | Na | no | 02/2014 | Mar 14, 2014 | Sep 6, 2017 |
| WFG ADVISORS 1, INC. | LIMITED PARTNER | Na | no | 04/2003 | Feb 10, 2015 | Sep 6, 2017 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| WFG INVESTMENTS, INC. | n/a | n/a | n/a | Y | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2016 | Aug 1, 2016 | $1.5B | $1.4B | 156 | 147 | n/a | n/a | n/a |
| 2015 | Sep 30, 2015 | $1.5B | $1.4B | 162 | 151 | n/a | n/a | n/a |
| 2014 | Sep 30, 2014 | $1.8B | $1.3B | 191 | 173 | n/a | n/a | n/a |
| 2013 | Sep 28, 2013 | $1.3B | $1.0B | 214 | 167 | n/a | n/a | n/a |
| 2012 | Oct 2, 2012 | $1.2B | $952M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2016 | $1.5B | $1.5B | 2.2% | $1.3B | 6.2% | 156 | 162 | n/a | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| SOUND INCOME STRATEGIES, LLC | 2 | Sep 22, 2017 | Jan 9, 2025 | CORDOVA, TN | Team lift out | Other | 100.0% |
| Apeiron | 6 | Sep 20, 2017 | Aug 31, 2017 | DALLAS, TX | Firm absorbed | Other | 54.5% |
| KESTRA ADVISORY SERVICES, LLC | 2 | Sep 1, 2017 | Sep 11, 2017 | MEMPHIS, TN | Team lift out | Other | 11.8% |
| CLARUS WEALTH ADVISORS, LLC | 8 | Aug 30, 2017 | Aug 15, 2017 | PEORIA, AZ | Team lift out | Other | 30.8% |
| KESTRA ADVISORY SERVICES, LLC | 2 | Aug 25, 2017 | Aug 24, 2017 | TROY, MI | Team lift out | Other | 5.3% |
| SECURITIES AMERICA ADVISORS, INC. | 2 | Aug 24, 2017 | Sep 19, 2017 | SAN ANTONIO, TX | Team lift out | Other | 4.7% |
| B. RILEY WEALTH ADVISORS, INC. | 2 | Aug 24, 2017 | Sep 21, 2017 | SAN ANTONIO, TX | Team lift out | Other | 4.7% |
| KESTRA ADVISORY SERVICES, LLC | 6 | Aug 23, 2017 | Sep 7, 2017 | PEORIA, IL | Team lift out | Other | 13.0% |
| COMMONWEALTH FINANCIAL NETWORK | 2 | Aug 21, 2017 | Aug 25, 2017 | NORFOLK, VA | Team lift out | Other | 4.2% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Aug 4, 2017 | Aug 10, 2017 | DALLAS, TX | Team lift out | Other | 3.4% |
| B. RILEY WEALTH ADVISORS, INC. | 3 | Aug 3, 2017 | Aug 23, 2017 | LITTLE ROCK, AR | Team lift out | Other | 4.8% |
| SUNBELT SECURITIES | 3 | Aug 3, 2017 | Aug 10, 2017 | DALLAS, TX | Team lift out | Other | 4.8% |
| SCF INVESTMENT ADVISORS, INC. | 3 | Aug 1, 2017 | Aug 11, 2017 | CYPRESS, TX | Team lift out | Other | 4.2% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 3 | Aug 1, 2017 | Aug 1, 2017 | HOUSTON, TX | Team lift out | Other | 4.2% |
| B. RILEY WEALTH ADVISORS, INC. | 8 | Jul 17, 2017 | Jan 30, 2018 | DALLAS, TX | Team lift out | Other | 10.3% |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | 2 | May 26, 2017 | Dec 18, 2018 | DAPHNE, AL | Team lift out | Other | 2.4% |
| WAYPOINTS FINANCIAL | 3 | Mar 31, 2017 | Mar 23, 2012 | SEBRING, FL | Team lift out | Other | 3.4% |
| KESTRA ADVISORY SERVICES, LLC | 3 | Mar 21, 2017 | Mar 20, 2017 | LEWES, DE | Team lift out | Other | 3.3% |
| KEEL POINT, LLC | 2 | Dec 27, 2016 | Jan 10, 2017 | BRENTWOOD, TN | Team lift out | Other | 2.1% |
| COMMONWEALTH FINANCIAL NETWORK | 7 | Nov 7, 2016 | Dec 5, 2016 | DALLAS, TX | Team lift out | Other | 6.9% |