DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
William Thompson
Chartered Financial Analyst
Feed of 09/15/2026
Also filed as William Thompson
At current firm
3 y
since Jan 19, 2023
In the industry
30 y
since Dec 7, 1995 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- UBS Financial Services Inc. wirehouse currentsince Jan 19, 2023 · Keller, Tx
- Fidelity Institutional Wealth Adviser LLC mixed wealthSep 12, 2022 to Jan 19, 2023 · Westlake, Tx
- Fidelity Personal And Workplace Advisors formerJul 13, 2018 to Aug 8, 2019 · Boston, Ma
- Strategic Advisers LLC national BDJan 19, 2018 to Jul 13, 2018 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Institutional Wealth Adviser LLC to UBS Financial Services Inc.left Jan 19, 2023, registered Jan 19, 2023 (0 days) · RIA to wirehouse
- Fidelity Personal And Workplace Advisors to Fidelity Institutional Wealth Adviser LLCleft Aug 8, 2019, registered Sep 12, 2022 (1131 days) · Affiliated broker-dealer or bank to independent RIA
- Strategic Advisers LLC to Fidelity Personal And Workplace Advisorsleft Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
Signals
- William Thompson left Fidelity Institutional Wealth Adviser Llc for Ubs Financial Services Inc. (registered 2023-01-19)Jan 19, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address