Williams, Garth Alan provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers. Financial planning was provided to 51–100 clients last fiscal year.
Williams, Garth Alan reports 92 clients. They include 52 high-net-worth individuals, 28 individual clients, and 12 corporations and other businesses. Of its assets, 99.5% ($161M across 307 accounts) are managed with discretion; $771K across 2 accounts are not. It advised 5 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 30% | 5% |
| High-net-worth individuals | 57% | 86% |
| Pension and profit-sharing plans | Fewer than 5 | 2% |
| Charitable organizations | Fewer than 5 | 1% |
| Corporations and other businesses | 13% | 6% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 28 | $7.6M | 4.7% | $271K |
| High-net-worth individuals | 52 | $140M | 86.3% | $2.68M |
| Pension and profit-sharing plans | Fewer than 5 | $2.97M | 1.8% | — |
| Charitable organizations | Fewer than 5 | $1.82M | 1.1% | — |
| Corporations and other businesses | 12 | $9.75M | 6.0% | $813K |
| Total | 92 | $162M | 100% | — |
- Clients
- 28
- Regulatory AUM
- $7.6M
- AUM share
- 4.7%
- Avg. per client
- $271K
- Clients
- 52
- Regulatory AUM
- $140M
- AUM share
- 86.3%
- Avg. per client
- $2.68M
- Clients
- Fewer than 5
- Regulatory AUM
- $2.97M
- AUM share
- 1.8%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $1.82M
- AUM share
- 1.1%
- Avg. per client
- —
- Clients
- 12
- Regulatory AUM
- $9.75M
- AUM share
- 6.0%
- Avg. per client
- $813K
Total
- Clients
- 92
- Regulatory AUM
- $162M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 5
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
Williams, Garth Alan charges 1.00% a year for its Investment Management Services. The fee is billed in advance and is negotiable. The brochure also prices 3 other services, listed under fee details.
Fee details and sources
Other fees
- Financial Planning Services
- Financial planning is a fixed fee, typically $2,000 to $10,000, or $400 per hour.
- Pension Consulting Services
- Pension consulting is charged on a fixed, percentage or hourly basis, as agreed with the client.
- Wealth Management Services
- Wealth management is charged a fixed quarterly fee, paid in advance.
Garth Williams owns 75% or more of Williams, Garth Alan. The leadership team of Williams, Garth Alan includes Chief Compliance Officer Garth Williams. It has 4 employees.
Leadership
Garth WilliamsOwner, Chief Compliance Officer
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
Staff
- 4 employees
- 4 in advisory functions
- 3 state-registered reps
- 2 insurance agents
- Owns 75% or more of Williams, Garth Alan
Garth Williams
Control person · since October 2006
Williams, Garth Alan’s regulatory assets grew from $136M (February 2025) to $162M (July 2026); clients rose from 86 to 92 and employees were 4 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| July 2026 | $162M | 92 | 4 | 4 |
| February 2025 | $136M | 86 | 4 | 5 |
Besides its headquarters, Williams, Garth Alan has 3 offices (2 private residences, listed without an address), with 2 listed addresses in California.
California · 1 listed address
- 10080 Wolfe RD, Cupertino
Contact and registration details
- Legal name
- Williams, Garth Alan
- Headquarters
- Not reported
- Website
- honuwealth.com
- Phone
- 650-917-3400
- @honuwealth
- SEC file
- 801-132222
- Structure
- California sole proprietorship
- Fiscal year end
- December
Williams, Garth Alan uses Charles Schwab ($158M) as custodian for its separately managed accounts. Williams, Garth Alan has custody of $59.2M in client assets for 83 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $158M100%
At year end, Williams, Garth Alan’s separately managed accounts were mostly in funds (63%) and stocks (34%).
What the accounts hold
- Stocks34%
- Funds63%
- Bonds1%
- Cash1%
- Other1%
- Annuities1%
How many clients does Williams, Garth Alan have?
Williams, Garth Alan has 92 clients and manages $162 million for them, as of July 2026. They include 52 high-net-worth individuals, 28 individual clients, and 12 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 16 July 2026
What services does Williams, Garth Alan offer?
Williams, Garth Alan provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Williams, Garth Alan charge?
Williams, Garth Alan charges 1.00% a year for its Investment Management Services. The fee is billed in advance and is negotiable.
Source: 03 20 2026 HWM FORM ADV 2A AND 2B FINAL, filed 20 March 2026
Which custodians does Williams, Garth Alan use?
Williams, Garth Alan’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $158M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 16 July 2026
How many financial advisors does Williams, Garth Alan have?
Williams, Garth Alan has 3 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Williams, Garth Alan invest in?
At the end of its last fiscal year, Williams, Garth Alan’s separately managed accounts held 63% registered funds (mutual funds, ETFs, BDCs), 34% exchange-traded equities, 1% state and local bonds, 1% cash and equivalents and 1% other. The 1% other category is described as: Annuities.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Williams, Garth Alan?
Williams, Garth Alan’s direct owner is Garth Williams (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 16 July 2026
How does Williams, Garth Alan get paid?
Williams, Garth Alan 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
Is Williams, Garth Alan registered with the SEC?
Yes, Williams, Garth Alan has been registered with the SEC as an investment adviser since 21 March 2025. Its CRD number is 142563 and its SEC file number is 801-132222.
Source: Form ADV Part 1A, Item 1, filed 16 July 2026; IAPD firm record
How do I contact Williams, Garth Alan?
Its phone number is 650-917-3400. Its website is honuwealth.com.