DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Planner|Personal Financial Specialistdual registered (broker-dealer)24 years in industry

William Knowis Kaiser

Advisor at CHARLES SCHWAB & CO., INC.

Westlake, TX

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:ededfca3-cbd0-1c38-02ff-2ec7100f871b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: May 29, 2002 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: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 29, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner|Personal Financial Specialist
Exams: S63|S65
First exam: Jul 30, 2003
First registration: May 29, 2002
Dual registered: yes, broker-dealer
Other names: BILL KAISER|WILLIAM KNOWIS KAISER|William K Kaiser
IAPD individual key: 2197075

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
CHARLES SCHWAB & CO., INC.	National bd RIA	Jul 21, 2021	n/a	yes	Westlake, TX	Current employment
BLAND GARVEY WEALTH ADVISORS, LLC	Independent wealth	Jan 19, 2012	Jul 12, 2021	no	RICHARDSON, TX	Previous registration
LEGACYTEXAS WEALTH ADVISORS	Former SEC adviser	Jun 24, 2011	Nov 23, 2011	no	DALLAS, TX	Previous registration
ADVANCED EQUITIES, INC.	Former SEC adviser	Feb 16, 2011	Jun 10, 2011	no	CHICAGO, IL\|SAN FRANCISCO, CA	Previous registration
HENNION & WALSH ASSET MANAGEMENT, INC.	Bd affiliated wealth	Oct 15, 2009	Dec 14, 2009	no	PARSIPPANY, NJ	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	May 6, 2009	Aug 25, 2009	no	DALLAS, TX	Previous registration
FISHER INVESTMENTS	Independent wealth	Jul 16, 2003	May 11, 2009	no	PLANO, TX	Previous registration
HOWARD FINANCIAL SERVICES, LTD.	Independent wealth	May 29, 2002	Nov 30, 2007	no	DALLAS, TX	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
BLAND GARVEY WEALTH ADVISORS, LLC	CHARLES SCHWAB & CO., INC.	Jul 12, 2021	Jul 21, 2021	9	Firm change	RIA to ibd
LEGACYTEXAS WEALTH ADVISORS	BLAND GARVEY WEALTH ADVISORS, LLC	Nov 23, 2011	Jan 19, 2012	57	Firm change	Other
ADVANCED EQUITIES, INC.	LEGACYTEXAS WEALTH ADVISORS	Jun 10, 2011	Jun 24, 2011	14	Firm change	Other
HENNION & WALSH ASSET MANAGEMENT, INC.	ADVANCED EQUITIES, INC.	Dec 14, 2009	Feb 16, 2011	429	Firm change after gap	Other
MORGAN KEEGAN & COMPANY, LLC	HENNION & WALSH ASSET MANAGEMENT, INC.	Aug 25, 2009	Oct 15, 2009	51	Firm change	Other
FISHER INVESTMENTS	MORGAN KEEGAN & COMPANY, LLC	May 11, 2009	May 6, 2009	-5	Firm change	Other
HOWARD FINANCIAL SERVICES, LTD.	FISHER INVESTMENTS	Nov 30, 2007	Jul 16, 2003	-1,598	Firm change after gap	Other

Relationships

Registered with (8)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jul 21, 2021 to presentfactForm ADV
→ BLAND GARVEY WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 19, 2012 to Jul 12, 2021factForm ADV
→ LEGACYTEXAS WEALTH ADVISORSRegistered adviserregistration: previous registration
Jun 24, 2011 to Nov 23, 2011factForm ADV
→ ADVANCED EQUITIES, INC.Registered adviserregistration: previous registration
Feb 16, 2011 to Jun 10, 2011factForm ADV
→ HENNION & WALSH ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Oct 15, 2009 to Dec 14, 2009factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
May 6, 2009 to Aug 25, 2009factForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Jul 16, 2003 to May 11, 2009factForm ADV
→ HOWARD FINANCIAL SERVICES, LTD.Registered adviserregistration: previous registration
May 29, 2002 to Nov 30, 2007factForm ADV

Dated events

No dated event names this entity yet.