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 Ewart Clegg

Summit Financial, LLCBD affiliatedNaples, Fldual registrantIAPD 3142804

Feed of 09/14/2026

Also filed as William Ewart Clegg

At current firm

2 y

since Apr 30, 2024

In the industry

27 y

since Dec 10, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Summit Financial, LLC BD affiliated current
since Apr 30, 2024 · Naples, Fl
UBS Financial Services Inc. wirehouse
Dec 3, 2008 to May 7, 2024 · Bonita Springs, Fl
Morgan Stanley & Co. LLC unclassified
Apr 2, 2007 to Nov 20, 2008 · Bonita Springs, Fl
Morgan Stanley Dw Inc. unclassified
Dec 10, 1998 to Apr 2, 2007 · Bonita Springs, Fl

Moves

a registration end followed by a registration begin elsewhere

UBS Financial Services Inc. to Summit Financial, LLC
left May 7, 2024, registered Apr 30, 2024 (-7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Morgan Stanley & Co. LLC to UBS Financial Services Inc.
left Nov 20, 2008, registered Dec 3, 2008 (13 days) · corporate re-registration, not a move
Morgan Stanley Dw Inc. to Morgan Stanley & Co. LLC
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

Signals

William Ewart Clegg left Ubs Financial Services Inc. for Summit Financial, Llc (registered 2024-04-30)
May 7, 2024 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address