William A. Webb

RIVERNORTH CAPITAL MANAGEMENT

West Palm Beach, FL 33401

Some features on this profile are disabled

CRD#: 2360329

Professional summary

William Allen Webb JR, who also goes by Allen Webb, W. Allen Webb Jr, William A. Webb Jr, William Allen Webb Jr., is a registered financial advisor currently at RIVERNORTH CAPITAL MANAGEMENT, LLC located in West Palm Beach, Florida and ALPS DISTRIBUTORS, INC. located in West Palm Beach, Florida.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. William has worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Allen Webb | W. Allen Webb Jr | William A. Webb Jr | William Allen Webb Jr.

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.

RIVERNORTH CAPITAL MANAGEMENT; INVESTMENT-RELATED; 360 S. ROSEMARY AVENUE WEST PALM BEACH, FL 33401; RIA; SENIOR PORTFOLIO SPECIALIST; 05/2012; 160 HRS/MON; 130 HRS MON DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Allen Webb JR'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

December 10, 2012 - Present

RIVERNORTH CAPITAL MANAGEMENT, LLC

Office #1: 360 S. Rosemary Ave Suite 1420, West Palm Beach, FL 33401

RIA

CRD#: 122020

West Palm Beach, FL

Current

August 28, 2012 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 360 South Rosemary Avenue Suite 1420, West Palm Beach, FL 33401

CRD#: 16853

West Palm Beach, FL

Past

December 9, 2010 - May 8, 2012

ALPHA CAPITAL FUNDS MANAGEMENT

RIA

CRD#: 155737

ATLANTA, GA

Past

September 20, 2010 - May 8, 2012

ALPHA CAPITAL MANAGEMENT, LLC

RIA

CRD#: 141284

ATLANTA, GA

Past

December 3, 2008 - May 27, 2010

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

ATLANTA, GA

Past

October 17, 2008 - May 27, 2010

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

ATLANTA, GA

Past

January 10, 2008 - September 22, 2008

CROSS CREEK CAPITAL MANAGEMENT

RIA

CRD#: 145758

ATLANTA, GA

Past

May 16, 1997 - June 12, 1998

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

January 30, 1996 - December 11, 1996

ADM SECURITIES, INC.

CRD#: 31973

CHICAGO, IL

Past

January 14, 1994 - January 29, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

RIVERNORTH CAPITAL MANAGEMENT, LLC

PINNACLE FUND MANAGEMENT, INC. | RIVERNORTH CAPITAL MANAGEMENT, LLC | RIVERNORTH CAPITAL MANAGEMENT, INC.

CRD#: 122020 / SEC#: 801-61533

RIA

Registered Investment Advisory firm - (10/15/2002 Approved)

Illinois

Registered Investment Advisory firm - (10/15/2002 Terminated)

Indiana

Registered Investment Advisory firm - (10/2/2003 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.

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

Alabama
(11/2/2012)

Alaska
(10/22/2012)

Arizona
(9/6/2012)

Arkansas
(10/22/2012)

California
(10/23/2012)

Colorado
(8/30/2012)

Connecticut
(8/29/2012)

Delaware
(11/3/2012)

District of Columbia
(9/6/2012)

Florida
(8/29/2012)

Georgia
(10/22/2012)

Hawaii
(10/22/2012)

Idaho
(8/30/2012)

Illinois
(8/29/2012)

IAR

Illinois
(12/10/2012)

Indiana
(10/22/2012)

Iowa
(10/22/2012)

Kansas
(10/24/2012)

Kentucky
(10/22/2012)

Louisiana
(9/5/2012)

Maine
(8/29/2012)

Maryland
(9/6/2012)

Massachusetts
(10/23/2012)

Michigan
(10/23/2012)

Minnesota
(10/22/2012)

Mississippi
(10/22/2012)

Missouri
(8/30/2012)

Montana
(10/22/2012)

Nevada
(10/23/2012)

New Hampshire
(10/22/2012)

New Jersey
(11/16/2012)

New Mexico
(10/22/2012)

New York
(10/22/2012)

North Carolina
(10/22/2012)

North Dakota
(10/23/2012)

Ohio
(8/30/2012)

Oklahoma
(10/23/2012)

Oregon
(10/22/2012)

Pennsylvania
(10/22/2012)

Rhode Island
(10/22/2012)

South Carolina
(10/22/2012)

South Dakota
(10/24/2012)

Tennessee
(10/22/2012)

Utah
(10/22/2012)

Vermont
(8/29/2012)

Virginia
(10/22/2012)

Washington
(10/22/2012)

West Virginia
(11/5/2012)

Wisconsin
(10/22/2012)

Wyoming
(10/22/2012)

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

Series 63

Date: 10/19/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/2/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/16/2008

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 6/9/1993

National Commodity Futures Examination

SRO Registrations

FINRA

Current Firm

RIVERNORTH CAPITAL MANAGEMENT, LLC

PINNACLE FUND MANAGEMENT, INC. | RIVERNORTH CAPITAL MANAGEMENT, LLC | RIVERNORTH CAPITAL MANAGEMENT, INC.

CRD#: 122020 / SEC#: 801-61533

RIA

Registered Investment Advisory firm - (10/15/2002 Approved)

Illinois

Registered Investment Advisory firm - (10/15/2002 Terminated)

Indiana

Registered Investment Advisory firm - (10/2/2003 Terminated)

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Contact information

Main Address

360 S. Rosemary Ave Suite 1420, West Palm Beach, FL 33401

Mailing Address

Phone number

(561) 484-7185

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

RIVERNORTH FORM ADV PART 2B (3/26/2025)

RIVERNORTH FORM ADV PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	30
AUM (Assets Under Management)	$ 6,181,636,447

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 A. Webb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Allen Webb JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

ALPHA CAPITAL FUNDS MANAGEMENT

ALPHA CAPITAL MANAGEMENT, LLC

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

CROSS CREEK CAPITAL MANAGEMENT

CETERA INVESTMENT SERVICES LLC

ADM SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

RIVERNORTH CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/19/2012

Series 66

Date: 4/2/2009

SIE

Date: 10/1/2018

Series 7

Date: 10/16/2008

Series 3

Date: 6/9/1993

FINRA

Current Firm

RIVERNORTH CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIVERNORTH CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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