William P. Nugent
CONVEY WEALTH LLC
Sherman Oaks, CA
Some features on this profile are disabled
CRD#: 2956882
Professional summary
William Patrick Nugent, CFP®, who also goes by Bill Nugent, is a registered financial advisor currently at CONVEY WEALTH LLC located in Sherman Oaks, California and ORIGIN INVESTMENT ADVISORY LLC located in Sherman Oaks, California.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. William has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Biography
Bill’s 25-year career began with one of the industry’s oldest and most respected wealth management firms. There, he focused on non-profit and public sector clients and drew inspiration from mission-driven professionals who dedicated their careers to caring for others.
Having led hundreds of live workshops during his career, Bill is skilled at expressing complex topics in an understandable manner. He believes in customization and focuses on each client’s goals to drive the investment management process.
In addition to providing personalized attention to his clients, he believes strongly in professional mentorship and enjoys teaching financial planning at UCLA.
Bill is a CERTIFIED FINANCIAL PLANNER™ as an IRS Enrolled Agent. He received both his bachelor’s and master’s degrees from the University of Massachusetts at Amherst.
At UMass, Bill met his wife, Suzanne. They now live in Los Angeles, where they raise their 8-year-old son to root for his home team (Go, Dodgers) but still root for their home team too. (Go, Red Sox)
Question & Answer
What are your service offerings?
Employee and Employer Plan Ben...
Socially Responsible Investing
Retirement Planning
Insurance Planning
Tax Planning
Investment Planning
Comprehensive Financial Planni...
Retirement Income Management
Estate Planning
Do you have an area of expertise or specialization?
AUM
Fixed Fee (Subscription, Retai...
Hourly
What is your minimum asset requirement?
250K
Are you a "fiduciary"?
Yes
Aliases
Bill Nugent
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.
William Nugent is an instructor for the University of California, Los Angeles Extension program. He spends six hours per week teaching financial planning courses during the spring and fall semesters and receives a salary. This is not investment related. Bill has been contracted out since September, 2022 as a financial planner for Origin Financial which is based in Boston, MA (177 Huntington Ave, Ste. 1703 PMB 50966 Boston, MA 02115-3153). With Origin, he provides planning services for employees who have access to Origin via their employee benefits department. Bill is paid an hourly wage for this work and typically spends 2-4 hours per month in this role. There is no relationship that exists between Convey Wealth LLC and Origin Financial. This arrangement may present a material conflict of interest because Bill might be incentivized to refer Origin's clients to Convey Wealth LLC's services. Though this is highly unlikely, Bill will address this conflict of interest by conducting proper due diligence with any prospective clients and will only accept clients if Convey Wealth LLC's services are truly suitable to the client's needs. This is investment related. Bill has been contracted out since August of 2023 as a retirement education specialist for Monarch Plan Advisors (3355 Cochran St, Suite 101, Simi Valley CA 93065). Monarch is an independent firm focused on servicing 401k plans. In this role, Bill conducts group workshops and 1/1 presentations helping people understand their 401k plans. He receives an hourly payment and typically spends 5-10 hours per month in this role. There is no relationship that exists between Convey Wealth LLC and Monarch Plan Advisors. This arrangement may present a material conflict of interest because Bill might be incentivized to refer Monarch Plan Advisors' clients to Convey Wealth LLC's services. Though this is highly unlikely, Bill will address this conflict of interest by conducting proper due diligence with any prospective clients and will only accept clients if Convey Wealth LLC's services are truly suitable to the client's needs.
CRS (Client Relationship Summary) - RIA
Click below to view William Patrick Nugent'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®
CFP®
Start date: 2003
Experience
Current
September 6, 2022 - Present
CONVEY WEALTH LLC
RIA
CRD#: 322622
Sherman Oaks, CA
Current
September 29, 2022 - Present
ORIGIN INVESTMENT ADVISORY LLC
Office #1: 14431 Ventura Blvd Number 251, Sherman Oaks, CA 91423RIA
CRD#: 305353
SHERMAN OAKS, CA
Current
August 11, 2023 - Present
MONARCH PLAN ADVISORS
RIA
CRD#: 286612
SHERMAN OAKS, CA
Past
October 18, 2021 - February 18, 2022
COMPOSITION WEALTH, LLC
RIA
CRD#: 143483
LOS ANGELES, CA
Past
July 29, 2019 - June 24, 2021
THE MATHER GROUP, LLC
RIA
CRD#: 156005
CHICAGO, IL
Past
May 21, 2015 - July 15, 2019
MERCER GLOBAL ADVISORS INC.
RIA
CRD#: 147363
Sherman Oaks, California 91403, CA
Past
January 26, 2011 - May 5, 2015
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
SHERMAN OAKS, CA
Past
January 12, 2009 - May 4, 2015
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
MISSION VIEJO, CA
Past
November 8, 2006 - June 20, 2008
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
SAN FRANCISCO, CA
Past
November 8, 2006 - June 20, 2008
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
SAN FRANCISCO, CA
Past
April 21, 2006 - August 25, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SAN FRANCISCO, CA
Past
April 18, 2006 - August 25, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SAN FRANCISCO, CA
Past
October 17, 1997 - April 7, 2006
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
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".
MP
MONARCH PLAN ADVISORS
3(38) INVESTMENT FIDUCIARIES | MONARCH PLAN ADVISORS | MONARCH CORPORATE ADVISORS
CRD#: 286612 / SEC#: 801-111651
RIA
Registered Investment Advisory firm - (9/8/2017 Approved)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
California(9/6/2022)
IAR
Massachusetts(1/3/2024)
IAR
Texas(7/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MP
MONARCH PLAN ADVISORS
3(38) INVESTMENT FIDUCIARIES | MONARCH PLAN ADVISORS | MONARCH CORPORATE ADVISORS
CRD#: 286612 / SEC#: 801-111651
RIA
Registered Investment Advisory firm - (9/8/2017 Approved)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
3355 Cochran Street Suite 101, Simi Valley, CA 93063
Mailing Address
Phone number
(818) 444-0376
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 136 |
| AUM (Assets Under Management) | $ 762,465,061 |
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.
