{"url":"https://nivawealth.com/firms/williams-and-schiller-wealth-management-143049","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/143049","regulatoryAum":120669000,"crd":"143049","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4708073","suffix":null,"lastName":"SCHILLER","firstName":"MARK","middleName":"ANDREW"},{"crd":"5280450","suffix":null,"lastName":"WILLIAMS","firstName":"BRAD","middleName":"J."}],"total":2,"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"},"secFileNumber":"801-134243","legalName":"Williams and Schiller Wealth Management, LLC","displayName":"Williams and Schiller Wealth 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2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1152788.902173913,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":120669000,"discretionary":120669000,"discretionaryAccounts":271,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":57,"regulatoryAum":16218427},{"label":"High-net-worth individuals","clients":35,"regulatoryAum":89838152},{"label":"Pension and profit-sharing plans","clients":3,"fewerThan5":true,"regulatoryAum":5492187},{"label":"Charitable organizations","clients":3,"fewerThan5":true,"regulatoryAum":2900913},{"label":"Corporations and other businesses","clients":6,"regulatoryAum":6219321}],"feePrograms":[{"role":"other","program":"Financial Planning Services","summary":"Financial planning is a fixed fee of $1,000 to $10,000 or more, or $250 to $350 an hour, with any advance retainer capped at $1,200 for work not finished within six months.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017709","versionId":1017709,"submittedOn":"2026-03-12","documentName":"ADV PART 2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T13:32:26.248624+00:00","documents":[{"name":"ADV PART 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017709","versionId":1017709,"submittedOn":"2026-03-12"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":110315694}],"custodyNote":"Williams and Schiller Wealth Management does not have custody of client assets.","leadership":[{"name":"Mark Schiller","title":"Principal/CCO","crd":"4708073"},{"name":"Brad Williams","title":"Principal","crd":"5280450"}],"ownership":[{"label":"Brad Williams","detail":"Principal in the 50% to 75% ownership band and a control person, since January 2007."},{"label":"Mark Schiller","detail":"Principal/cco in the 50% to 75% ownership band and a control person, since January 2007."}],"filedOffices":{"otherThanPrincipal":2,"privateResidences":1},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Idaho","offices":1,"addresses":[{"street":"708 Superior Street","city":"Sandpoint","headquarters":true}]},{"state":"North Dakota","offices":1,"addresses":[{"street":"4048 53rd Ave S","city":"Fargo"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"208-265-5959","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":16},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":72},{"label":"Cash and cash equivalents","percent":7},{"label":"Other","percent":4,"detail":"Fixed Annuities and Deleware Statatory Trust Assets"}],"privateFunds":0},"sources":{"adv1FilingDate":"12 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/143049/PDF/143049.pdf","brochureDate":"12 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017709","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 Williams and Schiller Wealth Management have?","answer":"Williams and Schiller Wealth Management has 104 clients and manages $121 million for them, as of March 2026. They include 57 individual clients, 35 high-net-worth individuals, and 6 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 12 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Williams and Schiller Wealth Management offer?","answer":"Williams and Schiller Wealth Management provides financial planning, portfolio management for individuals and small businesses, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Williams and Schiller Wealth Management use?","answer":"Williams and Schiller Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $110M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Williams and Schiller Wealth Management have?","answer":"Williams and Schiller Wealth Management has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","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 Williams and Schiller Wealth Management invest in?","answer":"At the end of its last fiscal year, Williams and Schiller Wealth Management’s separately managed accounts held 72% registered funds (mutual funds, ETFs, BDCs), 16% exchange-traded equities, 7% cash and equivalents, 4% other and 1% state and local bonds. The 4% other category is described as: Fixed Annuities and Deleware Statatory Trust Assets.","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 Williams and Schiller Wealth Management?","answer":"Williams and Schiller Wealth Management’s direct owners are Brad Williams (50% to 75%) and Mark Schiller (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 12 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Williams and Schiller Wealth Management get paid?","answer":"Williams and Schiller Wealth Management is paid through a percentage of assets under management, hourly charges 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":"Is Williams and Schiller Wealth Management registered with the SEC?","answer":"Yes, Williams and Schiller Wealth Management has been registered with the SEC as an investment adviser since 27 April 2026. Its CRD number is 143049 and its SEC file number is 801-134243.","source":"Form ADV Part 1A, Item 1, filed 12 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Williams and Schiller Wealth Management?","answer":"Williams and Schiller Wealth Management’s main office is at 708 Superior Street, Sandpoint, ID 83864. Its phone number is 208-265-5959. Its website is wswealthmanagementllc.com.","source":"Form ADV Part 1A, Item 1.F, filed 12 March 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."}