{
  "crd_number": 127516,
  "slug": "stephen-r-williams-investment-advisor-llc-127516",
  "primary_business_name": "STEPHEN R WILLIAMS INVESTMENT ADVISOR LLC",
  "legal_name": "STEPHEN R WILLIAMS INVESTMENT ADVISOR LLC",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "1998-05-14",
  "years_registered": 28,
  "period": "2026-10-01",
  "filing_date": "2026-09-28",
  "carried_forward": false,
  "raum_total": 11000000.0,
  "raum_discretionary": 11000000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "under_25m",
  "raum_band_label": "Under $25 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 11000000.0,
      "count": 13
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 4,
  "states_registered": [
    "FL"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/127516",
  "listing_state": "FL",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(3)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    }
  ],
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/stephen-r-williams-investment-advisor-llc-127516",
  "display_name": "Stephen R Williams Investment Advisor LLC",
  "summary": "Stephen R Williams Investment Advisor LLC is a state-registered investment advisory firm, registered since 1998, reporting under $25 million in regulatory assets under management in its Form ADV filing dated September 28, 2026.",
  "citation": "AdvisorCensus. Stephen R Williams Investment Advisor LLC (CRD 127516): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Stephen R Williams Investment Advisor LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Stephen R Williams Investment Advisor LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Is Stephen R Williams Investment Advisor LLC registered with the SEC or a state?",
      "a": "Stephen R Williams Investment Advisor LLC is a state-registered investment advisory firm, registered since 1998. Status as filed: APPROVED. CRD 127516."
    },
    {
      "q": "How much does Stephen R Williams Investment Advisor LLC manage?",
      "a": "Stephen R Williams Investment Advisor LLC reports $11,000,000 in regulatory assets under management in its Form ADV filing dated September 28, 2026 (100% discretionary)."
    },
    {
      "q": "What types of clients does Stephen R Williams Investment Advisor LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (13)."
    },
    {
      "q": "Does Stephen R Williams Investment Advisor LLC report any disciplinary disclosures?",
      "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.D(3) (another regulator's finding of causing a business's authorization to be denied, suspended, revoked, or restricted), 11.D(4) (another regulator's order in the past ten years), and 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/127516"
    },
    {
      "q": "What changed in Stephen R Williams Investment Advisor LLC's recent Form ADV filings?",
      "a": "In the October 2026 filing data: Regulatory assets under management went from $9,000,000 to $11,000,000 (+22%)."
    }
  ],
  "filing_history": [],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Regulatory assets under management went from $9,000,000 to $11,000,000 (+22%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/stephen-r-williams-investment-advisor-llc-127516.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 13,
      "fewer_than_5": false,
      "raum": 11000000.0
    }
  ],
  "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/127516",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}