WATTS GWILLIAM & COMPANY, LLC
Adviser information for WATTS GWILLIAM & COMPANY, LLC 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 979 | $572.3M |
| Non-Discretionary | 5 | $14.3M |
| Total | 984 | $586.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 26 | $11.8M |
| HNW Individuals | 354 | $559.2M |
| 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 | 7 | $14.4M |
| Charitable organizations | <5 | $1.2M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-63078 |
|---|---|
| SEC ERA File Number | 801-63078 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 131458 |
| Legal Entity Identifier | None |
Principal Office
2730 S. VAL VISTA DR.SUITE 124
GILBERT
AZ
United States
Monday - Friday, 8:30AM-4:30PM
Tel: 480-889-8998, Fax: 480-889-8999
Chief Compliance Officer
JEFFREY WATTS
MEMBER/CCO
2730 S. VAL VISTA DR.
SUITE 124
GILBERT
AZ
United States
Tel:
480-889-8998
Fax:
480-889-8999
J***@****************M
(Full email address available in API data)
Regulatory Contact
DAVID WATTS
MEMBER
2730 S. VAL VISTA DR
SUITE 124
GILBERT
AZ
United States
Tel:
480-889-8998
Fax:
480-889-8999
D***@****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| VISTA CAPITAL FUND III, LLC | Real Estate Fund | $5.2M | $0.1M | 53 |
| VISTA CAPITAL FUND IV: AK COURTYARD, LLC | Real Estate Fund | $0.0M | $0.1M | 0 |
| ZONA UC, LLC | Private Equity Fund | $3.2M | $0.1M | 19 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WATTS, JEFFREY, STEPHEN | Individual | – | MEMBER, CHIEF COMPLIANCE OFFICER | 06/2004 | 25-50% |
| GWILLIAM, DANIEL, BRADFORD | Individual | – | MEMBER | 06/2004 | 25-50% |
| WATTS, DAVID, BRUCE | Individual | – | MEMBER | 06/2004 | 25-50% |