{"url":"https://nivawealth.com/firms/watts-gwilliam-and-company-131458","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/131458","regulatoryAum":1031900000,"crd":"131458","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7845127","suffix":null,"lastName":"Cooper","firstName":"Benjamin","middleName":null},{"crd":"2444169","suffix":null,"lastName":"FRYER","firstName":"JEFFREY","middleName":"ALLEN"},{"crd":"2916314","suffix":"JR","lastName":"GWILLIAM","firstName":"DANIEL","middleName":"BRADFORD"},{"crd":"7816789","suffix":null,"lastName":"Gwilliam","firstName":"Kimball","middleName":"E"},{"crd":"5463656","suffix":null,"lastName":"VEST","firstName":"JONATHAN","middleName":"MARK"},{"crd":"3095023","suffix":null,"lastName":"WATTS","firstName":"DAVID","middleName":"BRUCE"},{"crd":"3084412","suffix":null,"lastName":"WATTS","firstName":"JEFFREY","middleName":"STEPHEN"},{"crd":"6851828","suffix":null,"lastName":"WILLETT","firstName":"MATTHEW","middleName":"CHAD"},{"crd":"6305100","suffix":null,"lastName":"Yuan","firstName":"Zhenhua","middleName":null}],"total":9,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-04-29","regulatoryAum":329356422,"clients":231,"employees":8,"offices":1},{"filedOn":"2022-07-15","regulatoryAum":438623742,"clients":314,"employees":9,"offices":2},{"filedOn":"2023-04-19","regulatoryAum":432908600,"clients":376,"employees":9,"offices":1},{"filedOn":"2024-07-30","regulatoryAum":604567642,"clients":392,"employees":10,"offices":1},{"filedOn":"2025-07-07","regulatoryAum":818900000,"clients":443,"employees":9,"offices":1},{"filedOn":"2026-07-28","regulatoryAum":1031900000,"clients":514,"employees":9,"offices":1}],"secFileNumber":"801-63078","legalName":"Watts Gwilliam & Company, LLC","displayName":"Watts Gwilliam & Company","slug":"watts-gwilliam-and-company-131458","website":"https://wattsgwilliam.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/131458/a68aba164d329bc2-r1.webp","tone":"light","width":199,"height":200,"sourceUrl":"https://wattsgwilliam.com/","sourceLabel":"Watts Gwilliam & Company, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2004","organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2730 S. Val Vista DR., Suite 124","city":"Gilbert","state":"AZ","stateName":"Arizona","country":"United States","postalCode":"85295"},"tradeNames":["Optic Asset Management"],"registration":{"secApproved":"23 April 2004","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1950894.6322067594,"staff":{"employees":9,"advisory":6,"brokerDealerReps":0,"insuranceAgents":1,"promoters":2},"aum":{"regulatory":1031900000,"discretionary":1031493625,"discretionaryAccounts":1205,"nonDiscretionary":406375,"nonDiscretionaryAccounts":3,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":45,"regulatoryAum":8100000},{"label":"High-net-worth individuals","clients":458,"regulatoryAum":973200000},{"label":"Pooled investment vehicles","clients":4,"regulatoryAum":19500000},{"label":"Pension and profit-sharing plans","clients":6,"regulatoryAum":29900000},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":1200000}],"feePrograms":[{"role":"main","program":"Asset management fee","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044398","versionId":1044398,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-05-07","documentName":"MAY 2006 BROCHURE","fee_rate_low":null,"fee_rate_high":1.25,"fee_negotiable":null,"minimum_account":null,"feeMinimumPeriod":"annual","fee_minimum_annual":2500},{"role":"other","program":"Financial planning","summary":"Fixed fees for financial planning are agreed in advance by complexity and projected at $500 to $3,500 for the initial plan.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044398","versionId":1044398,"submittedOn":"2026-05-07","documentName":"MAY 2006 BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T06:32:07.582747+00:00","documents":[{"name":"MAY 2006 BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044398","versionId":1044398,"submittedOn":"2026-05-07"}]},"custodians":[{"name":"Charles Schwab","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":550000000},{"name":"Fidelity Investments","shortName":"Fidelity","location":"Boston, MA","smaAssets":360000}],"custodyNote":"Watts Gwilliam & Company has custody of $43.7M in client assets for 22 clients.","otherCustodians":[],"leadership":[{"name":"Jeffrey Watts","title":"Member, Chief Compliance Officer","crd":"3084412"},{"name":"Daniel Gwilliam","title":"Member","crd":"2916314"},{"name":"David Watts","title":"Member","crd":"3095023"}],"ownership":[{"label":"Jeffrey Watts","detail":"Member, chief compliance officer in the 25% to 50% ownership band and a control person, since June 2004."},{"label":"Daniel Gwilliam","detail":"Member in the 25% to 50% ownership band and a control person, since June 2004."},{"label":"David Watts","detail":"Member in the 25% to 50% ownership band and a control person, since June 2004."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Arizona","offices":1,"addresses":[{"street":"2730 S. Val Vista DR., Suite 124","city":"Gilbert","headquarters":true}]}],"brochureServices":["education planning","estate planning","insurance"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"480-889-8998","stateRegisteredReps":7,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":35},{"label":"Non-exchange-traded equity securities","percent":1},{"label":"Derivatives","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":55},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":4},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":3},"sources":{"adv1FilingDate":"28 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/131458/PDF/131458.pdf","brochureDate":"7 May 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044398","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Watts Gwilliam & Company have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Watts Gwilliam & Company offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Watts Gwilliam & Company charge?","answer":"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.","source":"MAY 2006 BROCHURE, filed 7 May 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Watts Gwilliam & Company use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Watts Gwilliam & Company have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Watts Gwilliam & Company invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Watts Gwilliam & Company?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Watts Gwilliam & Company get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Watts Gwilliam & Company?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 28 July 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}