SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
S. Williams Capital, LLC
New York, NY
CRD 173204
Firm filing updated March 9, 2026 ·
- $29.2MAssets
- 1Advisory staff
- 18Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Performance-based feesYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- High net worth individuals12
- Individuals5
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 5 | $2.4 million |
| High net worth individuals | 12 | $15.0 million |
| Corporations or other businesses not listed above | Fewer than 5 clients | $11.8 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for individuals and/or small businesses
Assets and accounts
- Regulatory assets$29.2 million
- Accounts18
- DiscretionaryAll accounts
People
- Employees1
- Advisory staff1
- Broker-dealer reps0
- Licensed insurance agents0
Registration details
- SEC-registered investment advisor. CRD 173204, SEC file 801-131673.
- Registered with the SEC as an investment advisor (status date on record: January 2, 2025).
Is S. Williams Capital, LLC a fiduciary?
Short answer: S. Williams Capital, LLC is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.