William D. Frier

MAIA WEALTH

Colorado Springs, CO 80919

Some features on this profile are disabled

CRD#: 1029781

Professional summary

William David Frier, AIF®, who also goes by Dave Frier, David Frier, is a registered financial advisor currently at MAIA WEALTH located in Colorado Springs, Colorado.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. William has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Frier | David Frier

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. FRIER PLANNING CONCEPTS INC - FIXED INSURANCE SALES. 2. 6/2022- FRIER INSURANCE PLANNING, LLC. PRESIDENT. SALE AND SERVICING OF MORTALITY LIFE INSURANCE PRODUCTS. 15 HOURS/MONTH. INSURANCE AGENT. VARIOUS CARRIERS. NOT INVESTMENT RELATED. TRADING HOURS TIME SPENT= 15 HOURS PER MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William David Frier's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

May 8, 2024 - Present

MAIA WEALTH

Office #1: 5025 Boardwalk Drive Suite 200, Colorado Springs, CO 80919

RIA

CRD#: 292817

Colorado Springs, CO

Past

April 28, 2021 - December 9, 2021

MAIA WEALTH

RIA

CRD#: 292817

DENVER, CO

Past

November 10, 2017 - July 18, 2024

PATHWAY ADVISORS GROUP

RIA

CRD#: 290221

COLORADO SPRINGS, CO

Past

October 9, 2012 - December 12, 2017

SPC

RIA

CRD#: 110692

COLORADO SPRINGS, CO

Past

October 9, 2012 - November 10, 2017

PARKLAND SECURITIES, LLC

CRD#: 115368

COLORADO SPRINGS, CO

Past

April 19, 1993 - October 12, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

COLORADO SPRINGS, CO

Past

January 16, 1989 - October 12, 2012

LPL FINANCIAL LLC

CRD#: 6413

COLORADO SPRINGS, CO

Past

April 11, 1988 - January 26, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

Past

February 18, 1982 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MAIA WEALTH

CRD#: 292817 / SEC#: 801-120452

RIA

Registered Investment Advisory firm - (3/5/2021 Approved)

California

Registered Investment Advisory firm - (6/6/2021 Terminated)

Colorado

Registered Investment Advisory firm - (5/7/2021 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(5/21/2024)

IAR

Texas
(5/8/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/17/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/11/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/10/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/15/1983

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 3/29/1982

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/11/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/25/1996

General Securities Principal Examination

Current Firm

MAIA WEALTH

CRD#: 292817 / SEC#: 801-120452

RIA

Registered Investment Advisory firm - (3/5/2021 Approved)

California

Registered Investment Advisory firm - (6/6/2021 Terminated)

Colorado

Registered Investment Advisory firm - (5/7/2021 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1401 17th Street Suite 850, Denver, CO 80202

Mailing Address

Phone number

(720) 644-8803

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (9/12/2025)

Regulatory assets under management

Total Number of Accounts	2,445
AUM (Assets Under Management)	$ 704,344,811

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Tara Seegers

COMMONWEALTH FINANCIAL NETWORK

IAR

Colorado Spring, CO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William D. Frier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William David Frier's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAIA WEALTH

PATHWAY ADVISORS GROUP

SPC

PARKLAND SECURITIES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

MAIA WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 3/17/1993

Series 63

Date: 2/11/1982

SIE

Date: 11/10/2017

Series 7

Date: 1/15/1983

Series 22

Date: 3/29/1982

Series 6

Date: 2/11/1982

Series 24

Date: 6/25/1996

Current Firm

MAIA WEALTH

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAIA WEALTH

TRUST BUT VERIFY

Similar Advisors