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.
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SEC-registered adviser
W••••••• F••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Apr 8, 2020 · 16 filings
SEC status approved since May 8, 2020
RAUM
$210M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
97%
$204M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$52.5M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$210M as of Mar 26, 2026
Feb 22, 2021$131M then
HNW client RAUM$122M as of Mar 26, 2026
Feb 22, 2021$67.4M then
State-registered IARs (5.B.3)4 as of Mar 26, 2026
Feb 22, 20215 then
Employees (5.A)7 as of Mar 26, 2026
Feb 22, 20217 then
Private funds: no history
RAUM +9.9% over the last fiscal year+12% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $52.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $250,804derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $59.8M, 130 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$122M58%
- Individuals$82.3M39%
- Pension and profit-sharing plans$4.6M2.2%
- Charitable organizations$1.2M0.6%
- Individual clients
- 198reported
- HNW clients
- 63reported
- Pension plan clients
- 3reported
- Charitable clients
- 3reported
- Accounts
- 837reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $59.8M for 130 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• J•••• W•••••••Certified Financial Planner | North Bennington, Vt | Feb 26, 2008 | 22 y | 1 |
| D•••• A•• S•••••Certified Financial Planner | Leominster, Ma | Feb 20, 2015 | 26 y | 1 |
| T•••• R•••••• C••••••Certified Financial Planner | North Bennington, Vt | Nov 1, 2017 | 17 y | 3 |
| M••••••• G•••• P•••••• | North Bennington, Vt | Feb 27, 2024 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- N••• A•••• W••••••• to A• B••••• W•• F••••••••• L••Oct 29, 2021 · RIA to RIA
- L••••••• A••••• H••• to B•••••••• A•••• M••••••••• L••Jul 5, 2018 · RIA to RIA
- R••••• G•••• T••••••• to B•••••••• A•••• M••••••••• L••Jul 5, 2018 · RIA to RIA
Joined, latest
- T•••• R•••••• C•••••• from G•••••• S•••• W••••• S•••••••• L•••Nov 1, 2017 · Other
- L••••••• A••••• H••• from S••••••• W••••• M••••••••• L••Aug 14, 2015 · Other
- D•••• A•• S••••• from 1•• G••••• A••••••• I••Feb 20, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••••• J••••• J•••• · President/Chief Compliance Officercontrolsince 08/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| North Bennington, Vt · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Leominster, MA1 employees
- Saratoga Springs, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 803 to 837Mar 11, 2025 to Mar 26, 2026
- Corporate clients · 1 to 0Mar 11, 2025 to Mar 26, 2026
- HNW clients · 55 to 63Mar 11, 2025 to Mar 26, 2026
- Individual clients · 189 to 198Mar 11, 2025 to Mar 26, 2026
- Assets in custody · $19.1M to $59.8MMar 11, 2025 to Mar 26, 2026
- Discretionary RAUM · $185M to $201MMar 11, 2025 to Mar 26, 2026
- HNW RAUM · $108M to $122MMar 11, 2025 to Mar 26, 2026
- Individual RAUM · $77.3M to $82.3MMar 11, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $6.3M to $8.8MMar 11, 2025 to Mar 26, 2026
- Pension RAUM · $4.0M to $4.6MMar 11, 2025 to Mar 26, 2026
- RAUM · $191M to $210MMar 11, 2025 to Mar 26, 2026
- Accounts · 797 to 803Sep 30, 2024 to Mar 11, 2025
- HNW clients · 50 to 55Sep 30, 2024 to Mar 11, 2025
- Individual clients · 203 to 189Sep 30, 2024 to Mar 11, 2025
- Assets in custody · $5.9M to $19.1MSep 30, 2024 to Mar 11, 2025
- Financial planning clients · 101-250 to 101-250Sep 30, 2024 to Mar 11, 2025
- Discretionary RAUM · $169M to $185MSep 30, 2024 to Mar 11, 2025
- HNW RAUM · $101M to $108MSep 30, 2024 to Mar 11, 2025
- Individual RAUM · $68.4M to $77.3MSep 30, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $5.9M to $6.3MSep 30, 2024 to Mar 11, 2025
- Pension RAUM · $4.1M to $4.0MSep 30, 2024 to Mar 11, 2025
- RAUM · $174M to $191MSep 30, 2024 to Mar 11, 2025
- HQ city · BENNINGTON to NORTH BENNINGTONFeb 27, 2024 to Sep 30, 2024
- Advisory employees · 3 to 4Feb 22, 2024 to Feb 27, 2024
- State-registered IARs · 3 to 4Feb 22, 2024 to Feb 27, 2024
- Accounts · 755 to 797Mar 3, 2023 to Feb 22, 2024
- HNW clients · 40 to 50Mar 3, 2023 to Feb 22, 2024
- Individual clients · 197 to 203Mar 3, 2023 to Feb 22, 2024
- Assets in custody · $2.3M to $5.9MMar 3, 2023 to Feb 22, 2024
- Discretionary RAUM · $143M to $169MMar 3, 2023 to Feb 22, 2024
- HNW RAUM · $70.2M to $101MMar 3, 2023 to Feb 22, 2024
- Individual RAUM · $72.9M to $68.4MMar 3, 2023 to Feb 22, 2024
- Non-discretionary RAUM · $4.3M to $5.9MMar 3, 2023 to Feb 22, 2024
- Pension RAUM · $3.2M to $4.1MMar 3, 2023 to Feb 22, 2024
- RAUM · $148M to $174MMar 3, 2023 to Feb 22, 2024
- Accounts · 707 to 755Apr 5, 2022 to Mar 3, 2023
- Advisory activities · 5 to 4Apr 5, 2022 to Mar 3, 2023
- Charity clients · 2 to 3Apr 5, 2022 to Mar 3, 2023
- Corporate clients · 0 to 1Apr 5, 2022 to Mar 3, 2023
- HNW clients · 45 to 40Apr 5, 2022 to Mar 3, 2023
Signals
1 dated events
- W••••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Apr 8, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 516-762-8531reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-986-4469reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/williams-financial-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 866-986-4469reportedpublic record, Form ADV, Mar 26, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $52.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026