{"url":"https://nivawealth.com/firms/williams-capital-management-109412","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/109412","regulatoryAum":225556373,"crd":"109412","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4374911","suffix":null,"lastName":"WILLIAMS","firstName":"DAVID","middleName":"H"}],"total":1,"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":"2023-03-22","regulatoryAum":97812705,"clients":36,"employees":1,"offices":1},{"filedOn":"2024-03-01","regulatoryAum":119570386,"clients":28,"employees":1,"offices":1},{"filedOn":"2025-03-17","regulatoryAum":136078778,"clients":37,"employees":1,"offices":1},{"filedOn":"2026-03-18","regulatoryAum":225556373,"clients":22,"employees":1,"offices":1}],"secFileNumber":"801-126381","legalName":"Williams Capital Management Company","displayName":"Williams Capital Management","slug":"williams-capital-management-109412","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Illinois corporation","fiscalYearEnd":"December","headquarters":{"street":"825 Green Bay Road, Suite 220","city":"Wilmette","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60091"},"tradeNames":[],"registration":{"secApproved":"12 August 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":10252562.409090908,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":225556373,"discretionary":88432948,"discretionaryAccounts":21,"nonDiscretionary":137123425,"nonDiscretionaryAccounts":1,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":1},"clientTypes":[{"label":"High-net-worth individuals","clients":22,"regulatoryAum":225556373}],"feePrograms":[{"role":"main","program":"Management fees","feeBasis":"marginal","fee_tiers":[{"to":5000000,"pct":1,"from":0},{"to":null,"pct":0.75,"from":5000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1020758","versionId":1020758,"ratePeriod":"not_stated","fee_billing":"advance","submittedOn":"2026-03-18","documentName":"PART II BROCHURE, UPDATED JANUARY 1, 2026","fee_rate_low":0.75,"fee_rate_high":1,"fee_negotiable":null,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:03:19.90644+00:00","documents":[{"name":"PART II BROCHURE, UPDATED JANUARY 1, 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1020758","versionId":1020758,"submittedOn":"2026-03-18"}]},"custodians":[],"custodyNote":"Williams Capital Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"David Williams","title":"Director, President, Secretary, CEO, CFO, COO, Chief Compliance Officer, Shareholder","crd":"4374911"}],"ownership":[{"label":"David Williams","detail":"Director, president, secretary, ceo, cfo, coo, chief compliance officer, shareholder in the 75% or more ownership band and a control person, since July 1995."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"825 Green Bay Road, Suite 220","city":"Wilmette","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"847-256-5565","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":98},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"18 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/109412/PDF/109412.pdf","brochureDate":"18 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1020758","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 Capital Management have?","answer":"Williams Capital Management has 22 clients and manages $226 million for them, as of March 2026. They include 22 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 18 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Williams Capital Management offer?","answer":"Williams Capital Management provides portfolio management for individuals and small businesses and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Williams Capital Management charge?","answer":"Williams Capital Management charges 0.75%–1.00% for its Management fees. The brochure does not state whether the rate is annual. Each asset band is charged at its own rate. The fee is billed in advance.","source":"PART II BROCHURE, UPDATED JANUARY 1, 2026, filed 18 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Williams Capital Management have?","answer":"Williams Capital Management has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 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 Capital Management invest in?","answer":"At the end of its last fiscal year, Williams Capital Management’s separately managed accounts held 98% exchange-traded equities and 2% cash and equivalents.","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 Capital Management?","answer":"Williams Capital Management’s direct owner is David Williams (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 18 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Williams Capital Management get paid?","answer":"Williams Capital Management is paid through a percentage of assets under management. 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 Williams Capital Management?","answer":"Williams Capital Management’s main office is at 825 Green Bay Road, Suite 220, Wilmette, IL 60091. Its phone number is 847-256-5565.","source":"Form ADV Part 1A, Item 1.F, filed 18 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."}