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 A. Ward
Certified Financial Planner
Feed of 09/15/2026
Also filed as William Anthony Ward
At current firm
1 y
since Mar 31, 2025
In the industry
26 y
since Dec 10, 1999 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Strategic Advisers LLC national BD currentsince Mar 31, 2025 · Staten Island, Ny
- Fidelity Personal And Workplace Advisors formerApr 27, 2021 to Mar 31, 2025 · Wayne, Nj
- Ernst & Young Investment Advisers Llp no RAUMOct 11, 2019 to Feb 25, 2021 · Secaucus, Nj
- UBS Financial Services Inc. wirehouseMar 11, 2014 to Jan 11, 2019 · Weehawken, Nj
- Chase Investment Services Corp. formerFeb 21, 2006 to Sep 14, 2006 · New York, Ny
- Citicorp Investment Services unclassifiedSep 19, 2005 to Jan 19, 2006 · Brooklyn, Ny
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Personal And Workplace Advisors to Strategic Advisers LLCleft Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- Ernst & Young Investment Advisers Llp to Fidelity Personal And Workplace Advisorsleft Feb 25, 2021, registered Apr 27, 2021 (61 days) · Other
- UBS Financial Services Inc. to Ernst & Young Investment Advisers Llpleft Jan 11, 2019, registered Oct 11, 2019 (273 days) · Other
- Chase Investment Services Corp. to UBS Financial Services Inc.left Sep 14, 2006, registered Mar 11, 2014 (2735 days) · Other
- Citicorp Investment Services to Chase Investment Services Corp.left Jan 19, 2006, registered Feb 21, 2006 (33 days) · Other
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address