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 D Hennessey
Feed of 09/14/2026
Also filed as William David Hennessey
At current firm
8 y
since Sep 4, 2018
In the industry
28 y
since Dec 22, 1997 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Charles Schwab & Co., Inc. national BD currentsince Sep 4, 2018 · Fort Mitchell, Ky
- Advice And Planning Services BD affiliatedJul 29, 2015 to Apr 12, 2017 · Cincinnati, Oh
- Aequitas Investment Management, LLC formerSep 23, 2014 to Jul 9, 2015 · Lake Oswego, Or
- Charles Schwab & Co., Inc. national BDJul 16, 2007 to Aug 18, 2014 · Cincinnati, Oh
- Td Ameritrade Investment Management, LLC formerMay 18, 2006 to Apr 30, 2007 · Cincinnati, Oh
- Td Ameritrade, Inc. formerSep 26, 2005 to Apr 30, 2007 · Cincinnati, Oh
- Natcity Investments, Inc. unclassifiedJun 29, 2005 to Oct 17, 2005 · Cincinnati, Oh
- Strategic Advisers LLC national BDDec 12, 2003 to Jun 15, 2005 · Schaumburg, Il
Moves
a registration end followed by a registration begin elsewhere
- Advice And Planning Services to Charles Schwab & Co., Inc.left Apr 12, 2017, registered Sep 4, 2018 (510 days) · Other
- Aequitas Investment Management, LLC to Advice And Planning Servicesleft Jul 9, 2015, registered Jul 29, 2015 (20 days) · Other
- Charles Schwab & Co., Inc. to Aequitas Investment Management, LLCleft Aug 18, 2014, registered Sep 23, 2014 (36 days) · Other
- Td Ameritrade Investment Management, LLC to Charles Schwab & Co., Inc.left Apr 30, 2007, registered Jul 16, 2007 (77 days) · Other
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Apr 30, 2007, registered May 18, 2006 (-347 days) · channel change inside one enterprise, not a move
- Natcity Investments, Inc. to Td Ameritrade, Inc.left Oct 17, 2005, registered Sep 26, 2005 (-21 days) · Other
- Strategic Advisers LLC to Natcity Investments, Inc.left Jun 15, 2005, registered Jun 29, 2005 (14 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address