{"url":"https://nivawealth.com/firms/williams-garth-alan-142563","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/142563","regulatoryAum":161750740,"crd":"142563","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4722056","suffix":null,"lastName":"CHUN","firstName":"TOM","middleName":"PASONG"},{"crd":"4585173","suffix":null,"lastName":"SUSTRICK","firstName":"STEPHEN","middleName":"JOSEPH"},{"crd":"2431442","suffix":null,"lastName":"WILLIAMS","firstName":"GARTH","middleName":"ALAN"}],"total":3,"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":"2025-02-19","regulatoryAum":136208747,"clients":86,"employees":4,"offices":5},{"filedOn":"2026-07-16","regulatoryAum":161750740,"clients":92,"employees":4,"offices":4}],"secFileNumber":"801-132222","legalName":"Williams, Garth Alan","displayName":"Williams, Garth Alan","slug":"williams-garth-alan-142563","website":"https://honuwealth.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"http://www.linkedin.com/company/honuwealth/","founded":null,"organization":"California sole proprietorship","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"21 March 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1840115.6,"staff":{"employees":4,"advisory":4,"brokerDealerReps":0,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":161750740,"discretionary":160979943,"discretionaryAccounts":307,"nonDiscretionary":770797,"nonDiscretionaryAccounts":2,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":5},"clientTypes":[{"label":"Individuals (other than HNW)","clients":28,"regulatoryAum":7597916},{"label":"High-net-worth individuals","clients":52,"regulatoryAum":139611332},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":2966116},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":1820378},{"label":"Corporations and other businesses","clients":12,"regulatoryAum":9754998}],"feePrograms":[{"role":"main","program":"Investment Management Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022686","versionId":1022686,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-20","documentName":"03 20 2026 HWM FORM ADV 2A AND 2B FINAL","fee_rate_low":1,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning Services","summary":"Financial planning is a fixed fee, typically $2,000 to $10,000, or $400 per hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022686","versionId":1022686,"submittedOn":"2026-03-20","documentName":"03 20 2026 HWM FORM ADV 2A AND 2B FINAL"},{"role":"other","program":"Pension Consulting Services","summary":"Pension consulting is charged on a fixed, percentage or hourly basis, as agreed with the client.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022686","versionId":1022686,"submittedOn":"2026-03-20","documentName":"03 20 2026 HWM FORM ADV 2A AND 2B FINAL"},{"role":"other","program":"Wealth Management Services","summary":"Wealth management is charged a fixed quarterly fee, paid in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022686","versionId":1022686,"submittedOn":"2026-03-20","documentName":"03 20 2026 HWM FORM ADV 2A AND 2B FINAL"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:30:40.904902+00:00","documents":[{"name":"03 20 2026 HWM FORM ADV 2A AND 2B FINAL","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022686","versionId":1022686,"submittedOn":"2026-03-20"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":158331646}],"custodyNote":"Williams, Garth Alan has custody of $59.2M in client assets for 83 clients.","leadership":[{"name":"Garth Williams","title":"Owner, Chief Compliance Officer","crd":"2431442"}],"ownership":[{"label":"Garth Williams","detail":"Owner, chief compliance officer in the 75% or more ownership band and a control person, since October 2006."}],"filedOffices":{"otherThanPrincipal":3,"privateResidences":2},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"10080 Wolfe RD","city":"Cupertino"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"650-917-3400","stateRegisteredReps":3,"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","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":34},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":63},{"label":"Cash and cash equivalents","percent":1},{"label":"Other","percent":1,"detail":"Annuities"}],"privateFunds":0},"sources":{"adv1FilingDate":"16 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/142563/PDF/142563.pdf","brochureDate":"20 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022686","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, Garth Alan have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Williams, Garth Alan offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Williams, Garth Alan charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Williams, Garth Alan use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Williams, Garth Alan have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Williams, Garth Alan invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Williams, Garth Alan?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Williams, Garth Alan get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Williams, Garth Alan registered with the SEC?","answer":"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","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Williams, Garth Alan?","answer":"Its phone number is 650-917-3400. Its website is honuwealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 16 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."}