Hedge Fund Database

WILLIAMS FINANCIAL, LLC

Adviser information for WILLIAMS FINANCIAL, LLC last updated from Form ADV on February 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Vermont, United States

Employees

Total Number of Employees 7
Investment Advisory/Research 4
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 4
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 773 $168.5M
Non-Discretionary 24 $5.9M
Total 797 $174.5M

Clients

Type Number RAUM
Individuals 203 $68.4M
HNW Individuals 50 $100.6M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans <5 $4.1M
Charitable organizations <5 $1.4M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 1 $37,839
Other 0 $0
Type Number
No. of Non-RAUM Clients 5
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services
Compensation % of AUMHourly chargesFixed fees
Other Business Activities Accountant or accounting firm

Identifiers

SEC RIA File Number 801-118678
SEC ERA File Number 801-118678
SEC CIK Numbers 1846923
SEC CRD Numbers 137038
Legal Entity Identifier None

Principal Office

204 UNION STREET
BENNINGTON
VT
United States
Monday - Friday, 9AM- 5PM (CLOSED FOR LUNCH 12PM-1PM)
Tel: 866-986-4469, Fax: None

Websites

www.linkedin.com/company/williams-financial-llc www.williamsfinancial.net www.facebook.com/williamsfinancialmanagement/

Chief Compliance Officer

JAMES J. WILLIAMS
PRESIDENT
204 UNION STREET
BENNINGTON
VT
United States
Tel: 866-986-4469
(Full email address available in API data)

Regulatory Contact

LORI NEIDEL
OUTSIDE COMPLIANCE PROVIDER
910 E. BROADWAY
SUITE 209
COLUMBIA
MO
United States
Tel: 573-416-8076
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
WILLIAMS, JAMES, JASON Individual – PRESIDENT/CHIEF COMPLIANCE OFFICER 08/2005 > 75%

No. Employees, Historic

10502020202120222023202420258 on 4/8/20208 on 6/24/20208 on 6/30/20208 on 7/28/20207 on 2/22/20216 on 5/3/20215 on 10/29/20215 on 11/15/20215 on 2/28/20225 on 4/5/20227 on 3/3/20237 on 2/22/20247 on 2/27/2024

RAUM, Historic

200M100M0202020212022202320242025120410210 on 4/8/2020120410210 on 6/24/2020120410210 on 6/30/2020120410210 on 7/28/2020130854881 on 2/22/2021130854881 on 5/3/2021130854881 on 10/29/2021130854881 on 11/15/2021154313952 on 2/28/2022154313952 on 4/5/2022147574395 on 3/3/2023174473081 on 2/22/2024174473081 on 2/27/2024

No. Clients, Historic

3001500202020212022202320242025272 on 4/8/2020272 on 6/24/2020272 on 6/30/2020272 on 7/28/2020259 on 2/22/2021259 on 5/3/2021259 on 10/29/2021259 on 11/15/2021237 on 2/28/2022237 on 4/5/2022244 on 3/3/2023260 on 2/22/2024260 on 2/27/2024

Holdings

From latest 13F, filed August 8th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AMAZON COM INC COM 214K 1K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 217K 533 –
CVS HEALTH CORP COM 396K 7K –
DBX ETF TR XTRACK MSCI EAFE 15M 371K –
DIMENSIONAL ETF TRUST US SMALL CAP ETF 11M 186K –
EXXON MOBIL CORP COM 700K 6K –
ISHARES TR ESG AWRE USD ETF 231K 10K –
ISHARES TR ESG ADV TTL USD 245K 6K –
ISHARES TR RUS TP200 GR ETF 24M 113K –
ISHARES TR 0-5YR INVT GR CP 18M 375K –
SCHWAB STRATEGIC TR US SML CAP ETF 205K 4K –
SCHWAB STRATEGIC TR US MID-CAP ETF 405K 5K –
SCHWAB STRATEGIC TR SHT TM US TRES 18M 383K –
SPDR SER TR PRTFLO S&P500 VL 34M 690K –
SYSCO CORP COM 264K 4K –
VANGUARD BD INDEX FDS INTERMED TERM 22M 291K –
WISDOMTREE TR EMER MKT HIGH FD 4M 96K –