Watts Gwilliam & Company provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, selecting other managers, education planning, estate planning, and insurance. Financial planning was provided to 11–25 clients last fiscal year. The firm advises 3 private funds.
Watts Gwilliam & Company reports 514 clients. They include 458 high-net-worth individuals, 45 individual clients, and 6 pension and profit-sharing plans. Nearly all assets ($1.03B across 1,205 accounts) are managed with discretion; $406K across 3 accounts are not. Of its clients, 1% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 9% | <1% |
| High-net-worth individuals | 89% | 94% |
| Pooled investment vehicles | <1% | 2% |
| Pension and profit-sharing plans | 1% | 3% |
| Charitable organizations | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 45 | $8.1M | 0.8% | $180K |
| High-net-worth individuals | 458 | $973M | 94.3% | $2.12M |
| Pooled investment vehicles | 4 | $19.5M | 1.9% | $4.88M |
| Pension and profit-sharing plans | 6 | $29.9M | 2.9% | $4.98M |
| Charitable organizations | Fewer than 5 | $1.2M | 0.1% | $1.2M |
| Total | 514 | $1.03B | 100% | — |
- Clients
- 45
- Regulatory AUM
- $8.1M
- AUM share
- 0.8%
- Avg. per client
- $180K
- Clients
- 458
- Regulatory AUM
- $973M
- AUM share
- 94.3%
- Avg. per client
- $2.12M
- Clients
- 4
- Regulatory AUM
- $19.5M
- AUM share
- 1.9%
- Avg. per client
- $4.88M
- Clients
- 6
- Regulatory AUM
- $29.9M
- AUM share
- 2.9%
- Avg. per client
- $4.98M
- Clients
- Fewer than 5
- Regulatory AUM
- $1.2M
- AUM share
- 0.1%
- Avg. per client
- $1.2M
Total
- Clients
- 514
- Regulatory AUM
- $1.03B
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 3
- Financial planning clients last fiscal year
- 11–25
Watts Gwilliam & Company charges up to 1.25% a year for its Asset management fee. The fee is billed in advance and has a $2,500 annual minimum. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial planning
- Fixed fees for financial planning are agreed in advance by complexity and projected at $500 to $3,500 for the initial plan.
Jeffrey Watts owns 25% to 50% of Watts Gwilliam & Company. The leadership team of Watts Gwilliam & Company includes Chief Compliance Officer Jeffrey Watts. It has 9 employees, 6 of them in advisory roles.
Leadership
- Jeffrey WattsMember, Chief Compliance Officer
- Daniel GwilliamMember
- David WattsMember
Investment adviser representatives
9 representatives listed in the SEC register as of 9 October 2026.
- Benjamin Cooper
- Jeffrey Allen Fryer
- Daniel Bradford Gwilliam JR
- Kimball E Gwilliam
- Jonathan Mark Vest
- David Bruce Watts
- Jeffrey Stephen Watts
- Matthew Chad Willett
- Zhenhua Yuan
Staff
- 9 employees
- 6 in advisory functions
- 7 state-registered reps
- 1 insurance agent
- 2 soliciting firms
- Owns 25% to 50% of Watts Gwilliam & Company, LLC
Jeffrey Watts
Control person · since June 2004
- Owns 25% to 50% of Watts Gwilliam & Company, LLC
Daniel Gwilliam
Control person · since June 2004
- Owns 25% to 50% of Watts Gwilliam & Company, LLC
David Watts
Control person · since June 2004
Watts Gwilliam & Company’s regulatory assets grew 3.1× from $329M (April 2021) to $1.03B (July 2026); clients rose from 231 to 514 and employees from 8 to 9.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| July 2026 | $1.03B | 514 | 9 | 1 |
| July 2025 | $819M | 443 | 9 | 1 |
| July 2024 | $605M | 392 | 10 | 1 |
| April 2023 | $433M | 376 | 9 | 1 |
| July 2022 | $439M | 314 | 9 | 2 |
| April 2021 | $329M | 231 | 8 | 1 |
Besides its headquarters, Watts Gwilliam & Company has 0 offices, with 1 listed address in Arizona.
Arizona · 1 listed address
- 2730 S. Val Vista DR., Suite 124, GilbertHQ
Other business names
Watts Gwilliam & Company has reported 1 other business name to the SEC.
- Optic Asset Management
Contact and registration details
- Legal name
- Watts Gwilliam & Company, LLC
- Headquarters
- 2730 S. Val Vista DR., Suite 124, Gilbert, AZ 85295
- Website
- wattsgwilliam.com
- Phone
- 480-889-8998
- SEC file
- 801-63078
- Founded
- 2004
- Structure
- Delaware LLC
- Fiscal year end
- December
Watts Gwilliam & Company uses Charles Schwab ($550M, 100%) and Fidelity ($360K, 0%) as custodians for its separately managed accounts. Watts Gwilliam & Company has custody of $43.7M in client assets for 22 clients.
- Charles SchwabCharles Schwab · San Francisco, CA · $550M100%
- FidelityFidelity Investments · Boston, MA · $360K0%
At year end, Watts Gwilliam & Company’s separately managed accounts were mostly in funds (59%) and stocks (36%).
What the accounts hold
- Stocks36%
- Exchange-traded equities35%
- Non-exchange-traded equities1%
- Funds59%
- Registered funds55%
- Pooled vehicles4%
- Cash4%
- Other1%
- Derivatives1%
How many clients does Watts Gwilliam & Company have?
Watts Gwilliam & Company has 514 clients and manages $1.03 billion for them, as of July 2026. They include 458 high-net-worth individuals, 45 individual clients, and 6 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 28 July 2026
What services does Watts Gwilliam & Company offer?
Watts Gwilliam & Company provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, selecting other managers, education planning, estate planning, and insurance.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Watts Gwilliam & Company charge?
Watts Gwilliam & Company charges up to 1.25% a year for its Asset management fee. The fee is billed in advance and has a $2,500 annual minimum.
Which custodians does Watts Gwilliam & Company use?
Watts Gwilliam & Company’s separately managed account assets are held at Charles Schwab (San Francisco, CA), with $550M and Fidelity Investments (Boston, MA), with $360K. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 28 July 2026
How many financial advisors does Watts Gwilliam & Company have?
Watts Gwilliam & Company has 7 investment adviser representatives registered with state securities authorities, out of 9 employees, and 6 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Watts Gwilliam & Company invest in?
At the end of its last fiscal year, Watts Gwilliam & Company’s separately managed accounts held 55% registered funds (mutual funds, ETFs, BDCs), 35% exchange-traded equities, 4% pooled vehicles (private funds and similar), 4% cash and equivalents, 1% non-exchange-traded equities and 1% derivatives. It advises 3 private funds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Watts Gwilliam & Company?
Watts Gwilliam & Company’s direct owners are Jeffrey Watts, Daniel Gwilliam and David Watts, each holding 50% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 28 July 2026
How does Watts Gwilliam & Company get paid?
Watts Gwilliam & Company is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Watts Gwilliam & Company?
Watts Gwilliam & Company’s main office is at 2730 S. Val Vista DR., Suite 124, Gilbert, AZ 85295. Its phone number is 480-889-8998. Its website is wattsgwilliam.com.