Williams Group, LLC (Dubuque)

Williams Group, LLC is an adviser based in Dubuque. It manages $432.06 thousand of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of Florida, Iowa, and Minnesota.

Williams Group provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Williams Group: assets under management

The assets under management (AUM) of Williams Group, LLC is $432.06 thousand, all of which is managed in discretionary accounts. The company doesn't manage any assets belonging to foreign clients.

The firm manages $432.06 thousand in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $432.06 thousand each.

Investments

The firm invests in other assets the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Williams Group, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Williams Group serves?

The only and largest group of clients of Williams Group is pension and profit sharing plans with 1 clients and $432.06 thousand of assets under management. Among the 4 most similar advisory firms, Williams Group has the highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $432.06 thousand for 1 clients. None of the firm’s clients are foreign persons or businesses.

Williams Group doesn't advise any private funds.

Careers at Williams Group, LLC

The company employs 1 person that is either a part- or full-time employee. 100 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Mary Lynne Patch	Managing member/chief compliance officer	1 Mar 2017	75% - 100%	2953723

Based in Dubuque

The principal office where Williams Group, LLC performs its advisory services is located at 4871 Camelot Dr., Dubuque, IA 52002, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 563-599-2666. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday.