Dianne Williams Wildt

AMERICAN CAPITAL MANAGEMENT

New Albany, IN 47150

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CRD#: 2068008

Professional summary

Dianne Williams Wildt, who also goes by Dianne Wildt, Dianne Williams, P. Dianne Williams, Patricia Dianne Williams, is a registered financial advisor currently at AMERICAN CAPITAL MANAGEMENT, INC. located in New Albany, Indiana and REGULUS FINANCIAL GROUP, LLC located in New Albany, Indiana.

Dianne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Dianne has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dianne Wildt | Dianne Williams | P. Dianne Williams | Patricia Dianne Williams

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.

Business Name: Retirement Pathways - Investment Related: Yes - Address: 4500 Bowling Blvd Ste 100, Louisville, KY 40207 - Nature of Business: Registered Rep Activities through Regulus Financial Group, LLC using a DBA name; Insurance - Title or Relationship: Insurance Agent/Registered Representative - Start Date: 9/6/2023 - Hours per month: 160 - Hours per month during trading hours: 130 - Duties: Provide financial and insurance services. Business Name: Eagle Creek - Investment Related: No - Address: 8000 Eagle Creek Drive, Louisville, KY 40222 - Nature of Business: Community/Property Management - Title or Relationship: Board Member - Start Date: 7/1/2018 - Hours per month: 10 - Hours per month during trading hours: 0 - Duties: Volunteer board member in charge of the grounds. Business Name: American Capital Management - Investment Related: Yes - Address: 4500 Bowling Blvd Ste 100, Louisville, KY 40207 - Nature of Business: Investment Advisor Representative Activities - Title or Relationship: Investment Advisor Representative - Start Date: 11/1/2013 - Hours per month: 160 - Hours per month during trading hours: 130 - Duties: Provide financial services. Business Name: Louisville First SDA Church - Investment Related: No - Address: 2988 Newburg Road, Louisville, KY 40205 - Nature of Business: Church service - Title or Relationship: Volunteer Treasurer - Start Date: 7/1/2024 - Hours per month: 12 - Hours per month during trading hours: 4 - Duties: Offering receipts and recording, deposit to bank, payroll

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dianne Williams Wildt's 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

November 19, 2013 - Present

AMERICAN CAPITAL MANAGEMENT, INC.

Office #1: 4222 Grantline Road, New Albany, IN 47150

RIA

CRD#: 122452

New Albany, IN

Current

September 6, 2023 - Present

REGULUS FINANCIAL GROUP, LLC

Office #1: 4222 Grantline Dr, New Albany, IN 47150

CRD#: 150631

New Albany, IN

Past

November 19, 2013 - September 1, 2023

AMERICAN EQUITY INVESTMENT CORPORATION

CRD#: 40199

NEW ALBANY, IN

Past

June 14, 2010 - November 19, 2013

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

May 21, 2010 - November 19, 2013

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

LOUISVILLE, KY

Past

July 20, 2004 - May 21, 2010

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

LOUISVILLE, KY

Past

July 20, 2004 - May 21, 2010

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

LOUISVILLE, KY

Past

January 2, 2004 - April 5, 2004

NEW COVENANT FUNDS DISTRIBUTOR, INC.

CRD#: 37465

JEFFERSONVILLE, IN

Past

August 22, 2003 - July 16, 2004

ONE COMPASS ADVISORS

RIA

CRD#: 112029

JEFFERSONVILLE, IN

Past

July 18, 2002 - December 31, 2003

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

PORTLAND, ME

Past

July 23, 1990 - July 10, 1996

AFSG SECURITIES CORPORATION

CRD#: 18374

CEDAR RAPIDS, IA

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Indiana
(11/19/2013)

Indiana
(9/6/2023)

IAR

Kentucky
(11/19/2013)

Kentucky
(9/6/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/13/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/1/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/17/2002

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

AMERICAN CAPITAL MANAGEMENT, INC.

AMERICAN CAPITAL MANAGEMENT, INC. | JT DAVIS ASSET MANAGEMENT, LLC

CRD#: 122452 / SEC#:

Florida

Registered Investment Advisory firm - (3/30/2018 Approved)

Indiana

Registered Investment Advisory firm - (7/30/1991 Approved)

Kentucky

Registered Investment Advisory firm - (1/24/2008 Approved)

Ohio

Registered Investment Advisory firm - (6/28/2013 Approved)

Texas

Registered Investment Advisory firm - (12/5/2012 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).

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Contact information

Main Address

4222 Grantline Road, New Albany, IN 47150

Mailing Address

Phone number

(812) 945-9888

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	435
AUM (Assets Under Management)	$ 78,724,000

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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Dianne Williams Wildt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dianne Williams Wildt's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGULUS FINANCIAL GROUP, LLC

AMERICAN EQUITY INVESTMENT CORPORATION

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

NEW COVENANT FUNDS DISTRIBUTOR, INC.

ONE COMPASS ADVISORS

FORESIDE FUNDS DISTRIBUTORS LLC

AFSG SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 10/13/2003

Series 63

Date: 8/1/2002

SIE

Date: 10/1/2018

Series 6

Date: 7/17/2002

FINRA

Current Firm

AMERICAN CAPITAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AMERICAN CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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