Williams Financial, Llc
- Regulatory AUM
- $210M
- Discretionary
- $201M
- Clients
- 267
- Avg AUM / client
- $786K
- Accounts
- 837
- Employees
- 7
AUM over time
Annual snapshots from Form ADV filings · as of Mar 26, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 198 | $82.3M | 39.2% |
| High net worth individuals | 63 | $122M | 58.0% |
| Pension and profit sharing plans | 3 | $4.6M | 2.2% |
| Charitable organizations | 3 | $1.2M | 0.59% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Aim Transfer & Storage, Inc. Profit Sharing 401(k) Plan Aim Transfer & Storage, Inc. | 2024 |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Jason Williams | President/Chief Compliance Officer | CFP | Aug 2005 (21y) | 75% or more |
| Daryl Ann Spirka | Registered representative | CFP | Feb 2015 (11y) | |
| Tyler Richard Cinelli | Registered representative | CFP | Nov 2017 (9y) | |
| Meredith Grace Phippen | Registered representative | Feb 2024 (2y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Aim Transfer & Storage, Inc. Profit Sharing 401(k) Plan | Aim Transfer & Storage, Inc. | 131 | $8.2M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/26/2026 | 937 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $203M (97% of AUM) Mar 2026
- Ascensus, Inc. $1.7M (1% of AUM) Nov 2021
- Nationwide Advisory Solutions $884K (1% of AUM) Nov 2021
- Epic Retirement Plan Services $417K (0% of AUM) Nov 2021
- Aspire $132K (0% of AUM) Nov 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 26, 2026.
View current Form ADV (SEC/IAPD) ↗