William Sweet has been Managing Member of Ritholtz Wealth Management since April 2019, is not listed as a control person, but directly owns under 5% of the firm.
Ritholtz Wealth Management is a New York, NY firm with $9.42B under management, 4,221 clients and 48 advisers across 15 offices, as of its August 2026 filing.
William Sweet is Chief Financial Officer of Ritholtz Wealth Management. Sweet responded to a 2013 post seeking CFP professionals and landed a job in 2015. Sweet has 19 years of industry experience.
- Ritholtz Wealth ManagementCurrent– present · 5 yearsNew York, NY · Adviser representative · Firm CRD 168652
Professional designations
Listed by Ritholtz Wealth Management
- CFP®
Investment adviser representative registrations
William Sweet is registered as an investment adviser representative in New York, since June 2021.
- New YorkSince 21 June 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 11 January 2008 |
| Series 7 | General Securities Representative Examination | 7 December 2007 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- William Alan Sweet
- CRD
- 5420425
- Firm
- Ritholtz Wealth Management · CRD 168652
- Role
- Managing Member
- Office
- 24 WEST 40TH STREET, 15TH FLOOR, New York, NY 10018
- Registration
- Investment adviser registration
- In the industry since
- June 2021
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- ritholtzwealth.com
Where does William Sweet work?
William Sweet has been Managing Member of Ritholtz Wealth Management since April 2019.
Is William Sweet a financial advisor?
Yes. William Sweet has a current investment-adviser registration in New York, through Ritholtz Wealth Management since June 2021.
How many years of experience does William Sweet have?
William Sweet has 5 years in the financial industry, since June 2021, across 1 adviser firm.
What exams has William Sweet passed?
William Sweet has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in December 2007. FINRA credited William Sweet with the SIE, which began in October 2018.
Where is William Sweet based?
William Sweet’s registered office is in New York, NY.
Is William Sweet registered with FINRA?
No. William Sweet has no current broker registration.
Is William Sweet a CFP?
Ritholtz Wealth Management lists William Sweet with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
How can I verify William Sweet’s record?
Search CRD 5420425 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes William Sweet’s full registration record.
- Patricia FerraroChief Compliance Officer & Managing Member
William ArtzerounianManaging Member
Benjamin CarlsonManaging Member
Anna ChaikenManaging Member
Ross CohenManaging Member
Benjamin CoulthardManaging Member
Margaret DuquesnayManaging Member
Joel FishmanManaging Member
Taylor HollisManaging Member
Dinamarie IsolaManaging Member
Michelle KatzenManaging Member
Dylan KluenderManaging Member
Daniel LarosaManaging Member
Matthew LohriusManaging Member
Nicholas MaggiulliManaging Member
Erika MauroManaging Member
Jonathan NovyManaging Member
Alexander PalumboManaging Member
Gary PulfordManaging Member
Brian RosenManaging Member
Nicholas SapienzaManaging Member
Kevin YoungManaging Member
Paul ZodtnerManaging Member
Barry RitholtzManaging Member- Joshua BrownManaging Member
Kristopher VenneManaging Member
Michael BatnickManaging Member
Jay TiniManaging Member