WILLIAMS AND SCHILLER WEALTH MANAGEMENT, LLC of SANDPOINT, ID is an SEC-registered investment adviser (CRD 143049). Regulatory assets under management: $120.7M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| Brad J Williams | PRINCIPAL | — |
| Mark Andrew Schiller | PRINCIPAL/CCO | — |
| Brad J. Williams | PRINCIPAL | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-02-01 | regulatory | FOLLOWING A ROUTINE EXAM OF THE ADVISOR, THE STATE OF IDAHO DEPARTMENT OF FINANCE FOUND THAT A NOW FORMER INVESTMENT ADVISOR REPRESENTATIVE OF THE FIRM HAD NOT BEEN REGISTERED AS SUCH PURSUANT TO IDAHO CODE SECTION 30-14-403(D) PRIOR TO PROVIDING INVESTMENT ADVICE TO CLIENTS. | Final | $3K |