William T. Hepburn

SHADOWRIDGE ASSET MANAGEMENT

Prescott, AZ

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CRD#: 1444970

Professional summary

William Thomas Hepburn, who also goes by Will Hepburn, is a registered financial advisor currently at SHADOWRIDGE ASSET MANAGEMENT, LLC located in Prescott, Arizona.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. William has worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Will Hepburn

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.

Hepburn Capital Management; investment-related; Prescott, AZ; DBA; Managing Member; started 01/2002; approximately 2 hours per month, all during securities trading hours; Managing Member

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Thomas Hepburn'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®

None

Experience

Current

October 15, 2020 - Present

SHADOWRIDGE ASSET MANAGEMENT, LLC

RIA

CRD#: 162066

Prescott, AZ

Past

March 7, 2007 - July 30, 2008

THRIFTY MONEY MANAGEMENT, INC.

RIA

CRD#: 142319

PRESCOTT, AZ

Past

August 9, 2005 - December 2, 2008

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

PRESCOTT, AZ

Past

September 9, 2003 - March 15, 2021

HEPBURN CAPITAL MANAGEMENT, LLC

RIA

CRD#: 120572

PRESCOTT, AZ

Past

November 11, 1996 - August 28, 2003

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

April 15, 1993 - November 6, 1996

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

February 22, 1989 - March 31, 1993

GENEVA SECURITIES,INC.

CRD#: 16178

SCHAUMBURG, IL

Past

February 19, 1987 - March 28, 1989

LAWSON FINANCIAL CORPORATION

CRD#: 15261

PHOENIX, AZ

Past

December 16, 1985 - October 13, 1986

EQUIVEST SECURITIES CORPORATION

CRD#: 10452

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".

SHADOWRIDGE ASSET MANAGEMENT, LLC

CRD#: 162066 / SEC#: 801-131300

RIA

Registered Investment Advisory firm - (10/16/2024 Approved)

Arizona

Registered Investment Advisory firm - (11/5/2024 Terminated)

California

Registered Investment Advisory firm - (12/5/2024 Terminated)

Ohio

Registered Investment Advisory firm - (11/6/2024 Terminated)

Texas

Registered Investment Advisory firm - (11/5/2024 Terminated)

Utah

Registered Investment Advisory firm - (11/6/2024 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

Arizona
(10/15/2020)

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: 1/25/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/26/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/21/1987

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/7/1985

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 51

Date: 2/12/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/14/1993

General Securities Principal Examination

Current Firm

SHADOWRIDGE ASSET MANAGEMENT, LLC

CRD#: 162066 / SEC#: 801-131300

RIA

Registered Investment Advisory firm - (10/16/2024 Approved)

Arizona

Registered Investment Advisory firm - (11/5/2024 Terminated)

California

Registered Investment Advisory firm - (12/5/2024 Terminated)

Ohio

Registered Investment Advisory firm - (11/6/2024 Terminated)

Texas

Registered Investment Advisory firm - (11/5/2024 Terminated)

Utah

Registered Investment Advisory firm - (11/6/2024 Terminated)

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Contact information

Main Address

1001 S. Capital Of Texas Highway M-100, Austin, TX 78746

Mailing Address

Phone number

(888) 434-1427

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/17/2025)

Regulatory assets under management

Total Number of Accounts	897
AUM (Assets Under Management)	$ 118,695,558

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.

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Firm Stability Insights

William T. Hepburn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Thomas Hepburn's CRS (Customer Relationship Summary).

Certified licenses

Experience

THRIFTY MONEY MANAGEMENT, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

HEPBURN CAPITAL MANAGEMENT, LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

SECURITIES AMERICA, INC.

GENEVA SECURITIES,INC.

LAWSON FINANCIAL CORPORATION

EQUIVEST SECURITIES CORPORATION

Primary Firm SEC Registration

SHADOWRIDGE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/25/1995

Series 63

Date: 2/26/1987

Series 7

Date: 2/21/1987

Series 22

Date: 12/7/1985

Series 51

Date: 2/12/2003

Series 24

Date: 6/14/1993

Current Firm

SHADOWRIDGE ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHADOWRIDGE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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