# Stephen R Williams Investment Advisor LLC

> 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.

- CRD: 127516
- Filed as: STEPHEN R WILLIAMS INVESTMENT ADVISOR LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Florida
- Filing period: October 2026
- Form ADV filing dated: September 28, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/127516
- AdvisorCensus page: https://advisorcensus.com/firm/stephen-r-williams-investment-advisor-llc-127516

## Quick answers

**How is Stephen R Williams Investment Advisor LLC compensated?**
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.

**Is Stephen R Williams Investment Advisor LLC registered with the SEC or a state?**
Stephen R Williams Investment Advisor LLC is a state-registered investment advisory firm, registered since 1998. Status as filed: APPROVED. CRD 127516.

**How much does Stephen R Williams Investment Advisor LLC manage?**
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).

**What types of clients does Stephen R Williams Investment Advisor LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (13).

**Does Stephen R Williams Investment Advisor LLC report any disciplinary disclosures?**
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

**What changed in Stephen R Williams Investment Advisor LLC's recent Form ADV filings?**
In the October 2026 filing data: Regulatory assets under management went from $9,000,000 to $11,000,000 (+22%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $11,000,000
- Discretionary: $11,000,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 13 | $11,000,000 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 1998 (28 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): 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?
- 11.D(3): 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?
- 11.D(4): 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?
- 11.D(5): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/127516

## Changes in the filing (last 12 months)

### October 2026
- Regulatory assets under management went from $9,000,000 to $11,000,000 (+22%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Stephen R Williams Investment Advisor LLC (CRD 127516): Form ADV filing data as of October 2026.