WILLIAM B. WALKUP & ASSOCIATES, INC.
Adviser information for WILLIAM B. WALKUP & ASSOCIATES, INC. last updated from Form ADV on March 28th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | South Carolina, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 64 | $152.2M |
| Non-Discretionary | 0 | $0 |
| Total | 64 | $152.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 34 | $13.6M |
| HNW Individuals | 16 | $53.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 13 | $78.1M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | $7.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-126904 |
|---|---|
| SEC ERA File Number | 801-126904 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 135533 |
| Legal Entity Identifier | None |
Principal Office
142 ATRIUM WAYCOLUMBIA
SC
United States
Monday - Friday, 9 AM TO 5 PM
Tel: 803-462-9395, Fax: 803-462-9396
Chief Compliance Officer
RICHARD NEWSOME
CCO
142 ATRIUM WAY
COLUMBIA
SC
United States
Tel:
(803) 462-9395
Fax:
(803) 462-9396
N******@*********Z
(Full email address available in API data)
Regulatory Contact
CHRISTOPHER J. WALKUP
142 ATRIUM WAY
COLUMBIA
SC
United States
Tel:
(803) 462-9395
Fax:
(803) 462-9396
C****@*********Z
(Full email address available in API data)
Industry Affiliates
| WALKUP MANGEMENT, INC. | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CAPITAL GROWTH INVESTMENT LLC | Private Equity Fund | $1.0M | $0.0M | 5 |
| COLUMBIA CASH RESERVES. LLC | Private Equity Fund | $24.5M | $0.0M | 98 |
| EQUITY 83 LLC | Private Equity Fund | $6.9M | $0.0M | 38 |
| EQUITY 84 LLC | Private Equity Fund | $2.2M | $0.0M | 6 |
| EQUITY 85 LLC | Private Equity Fund | $2.2M | $0.0M | 12 |
| EQUITY 86 LLC | Private Equity Fund | $2.8M | $0.0M | 24 |
| EQUITY 89 LLC | Private Equity Fund | $2.3M | $0.0M | 7 |
| EQUITY 93 LLC | Private Equity Fund | $1.4M | $0.0M | 17 |
| EQUITY 94 LLC | Private Equity Fund | $2.2M | $0.0M | 8 |
| EQUITY 95 LLC | Private Equity Fund | $3.1M | $0.0M | 19 |
| EQUITY 96 LLC | Private Equity Fund | $6.7M | $0.0M | 36 |
| EQUITY 97 LLC | Private Equity Fund | $10.0M | $0.0M | 19 |
| EQUITY 99 LLC | Private Equity Fund | $23.4M | $0.0M | 57 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WALKUP, WILLIAM, BASKIN | Individual | – | OWNER/INVESTMENT ADVISOR REPRESENTATIVE | 09/1992 | > 75% |
| WALKUP, CHRISTOPHER, JOEL | Individual | – | CFO | 09/2001 | < 5% |
| NEWSOME, RICHARD, BRANTLEY | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2024 | < 5% |