SourcingSourcing

WILLIAMS & ASSOCIATES, INC.

C34
CRD 338196·SEC 801-135121·COLUMBIA, MD
AUM
$0
<$25M
Est. Revenue
$0
@ 1% on AUM
Est. EBITDA
$0
@ 30% margin
Est. Deal Value
$0
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
WILLIAMS & ASSOCIATES, INC.
CRD
338196
SEC file #
801-135121
EIN
—
DBA names
Williams Asset Management

Economics

AUM
$0
AUM band
<$25M
AUM trajectory
—
Client mix
—

Operations

Employees (total)
9
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
—
Primary office
COLUMBIA MD
Branches
—

Custodian & Brokerage

Primary custodian
LPL Financiallow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisers
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/23/2026
ADV-W filed at
—
Website
williamsassetmanagement.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
WILLIAMS, GARY, STUART
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
WILLIAMS, GARY, STUART
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
WILLIAMSASSETMANAGEMENT.COM
Rdap Domain Creation Date
2005-08-22T20:12:10Z
Rdap Firm Age Years
21
Rdap Firm Age Band
20+y
Rdap Registrar
Tucows Domains Inc.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
1
Form 5500 Total Participants
71
Form 5500 Compensation Trajectory 3y
20240
Form 5500 Plan Count Trajectory 3y
20241
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.3452
Soi Zip Pct 200k Plus
0.1025
Soi Zip Returns 200k Plus
2040
Soi Zip Total AGI
1,836,704
Fdic Zip Total Deposits
30,338,825,000
Fdic Zip Branch Count
402
Fdic Zip Top Banks
Bank of America, National Association
Manufacturers and Traders Trust Company

Compliance & brand

Firm Registration Status
active

All other collected signals (24)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
6
Bc Firm IAR Count
6
Custodian Candidates
Full
Lpl Financial4
E*trade4
Fdic Zip Branches Raw
Signet Bank-MarylandColumbia, MD
NationsBank, National AssociationColumbia, MD
Fdic Zip HHI
2267.12
Fdic Zip Top Bank Share Pct
44.14
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2033-08-22T20:12:10Z
Rdap Domain Last Changed
2024-05-25T20:09:14Z
Rdap Nameservers
Ns1.commonwealth.comNs2.commonwealth.comNs3.commonwealth.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI54,401
Returns4,690
Stub 2
AGI132,136
Returns3,590
Stub 3
AGI163,673
Returns2,640
Soi Zip Total Business Income
44,763
Soi Zip Total Cap Gains
46,452
Soi Zip Total Dividends
26,680
Soi Zip Total Returns
19,900
Top Owner CRD
2470323
Trust Company Affiliate
No

People (6)

6
WILLIAMS, GARY, STUART
IAR · Direct Owner · 87.5%
2470323
Gavin Paul Walter
IAR
7746688
KARISSA NICOLE GOESSL
IAR
6261273
GEORGE THOMAS WATSON
IAR
6188925
Brian Scott McKinney
IAR
6661521
DUNCAN SHAWN MCCALL
IAR
7269250