WILLIAMS FINANCIAL, LLC
Firm details
- Headquarters
- north bennington, Vermont
- CRD number
- 137038
- Registered since
- May 8, 2020
- Website
- www.williamsfinancial.net
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- HNWI57.98%
- Individuals39.22%
- Pension & Profit Sharing Plans2.2%
- Charitable Organizations0.59%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension Consulting
Firm profile
FINTRXOverview
Williams Financial, LLC is an independent, SEC-registered registered investment adviser organized as an LLC and owned by an individual. The firm provides financial planning and discretionary portfolio management for individuals, small businesses and institutions, and also offers pension consulting services. Its business activities include accounting work, and it charges clients via a mix of asset-based fees, hourly billing and fixed fees. Williams Financial does not identify as an active ESG investor and is not classified as a multi-state adviser. The firm was recognized on FA Magazine’s Top RIA Firms list in 2020.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds93%
- Exchange Traded Equities3%
- Cash & Cash Equivalents3%
- US Government Bonds1%
Owners & executives
1 of 1JAMES WILLIAMS
CEO & FounderCRD 4806982
Contacts
3 of 3Meredith Phippen
Associate Financial PlannerCRD 7853740
DARYL SPIRKA
Executive Vice PresidentCRD 4006179
TYLER CINELLI
Financial PlannerCRD 5688437
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 18Active vs passive
$170M in ETFs
60%
$102M
40%
$67.9M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| JPMORGAN INCOME ETF (JPIE) | JP Morgan | Active | Multisector Bond | $48.4M | 1,051,067 | 28.51% |
Location
north bennington, VT
BENNINGTON
Location
north bennington, VT
Headquartered in north bennington, VT, in the Northeast of the United States.
- Region
- Northeast
- County
- BENNINGTON
- Address
- 12 Main St
- Time zone
- ET (UTC-5)
- Office locations
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