William T. Fowler

ADVANTAGE INVESTMENT MANAGEMENT

LOUISVILLE, KY 40207

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CRD#: 3087793

Professional summary

William Thomas Fowler IV, who also goes by Billy Fowler, William T Fowler, William Thomas Fowler, is a registered financial advisor currently at ADVANTAGE INVESTMENT MANAGEMENT located in Louisville, Kentucky.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. William has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Billy Fowler | William T Fowler | William Thomas Fowler

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) The Benefits Firm - Not investment related - 222 E Witherspoon St Louisville, KY 40202 - Insurance - Owner - 10/2003 - 40hrs/mo - 20hrs/mo during trading hrs - Sell & maintain health insurance products

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Thomas Fowler IV'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

November 20, 2020 - Present

ADVANTAGE INVESTMENT MANAGEMENT

Office #1: 136 Breckenridge Lane Suite 101, Louisville, KY 40207

RIA

CRD#: 146493

LOUISVILLE, KY

Past

October 30, 2020 - November 13, 2020

ADVANTAGE INVESTMENT MANAGEMENT

RIA

CRD#: 146493

Louisville, KY

Past

January 7, 2010 - January 13, 2017

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

January 9, 2008 - October 27, 2020

COMMONWEALTH FINANCIAL ADVISORS, LLC

RIA

CRD#: 146396

LOUISVILLE, KY

Past

November 5, 2007 - December 31, 2009

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

LOUISVILLE, KY

Past

September 17, 2004 - November 12, 2007

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

LOUISVILLE, KY

Past

May 22, 2003 - November 12, 2007

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

LOUISVILLE, KY

Past

January 12, 2001 - May 27, 2003

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

August 28, 1998 - January 22, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

ADVANTAGE INVESTMENT MANAGEMENT

CRD#: 146493 / SEC#: 801-125798

RIA

Registered Investment Advisory firm - (5/2/2022 Approved)

Indiana

Registered Investment Advisory firm - (5/6/2022 Terminated)

Kentucky

Registered Investment Advisory firm - (6/17/2022 Terminated)

Pennsylvania

Registered Investment Advisory firm - (5/5/2022 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

Kentucky
(11/20/2020)

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: 9/14/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/2/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/13/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/18/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/27/1998

General Securities Representative Examination

Current Firm

ADVANTAGE INVESTMENT MANAGEMENT

CRD#: 146493 / SEC#: 801-125798

RIA

Registered Investment Advisory firm - (5/2/2022 Approved)

Indiana

Registered Investment Advisory firm - (5/6/2022 Terminated)

Kentucky

Registered Investment Advisory firm - (6/17/2022 Terminated)

Pennsylvania

Registered Investment Advisory firm - (5/5/2022 Terminated)

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Contact information

Main Address

Glenview Pointe Business Center 2319 Lime Kiln Lane, Suite A, Louisville, KY 40222

Mailing Address

Phone number

(502) 212-3000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	386
AUM (Assets Under Management)	$ 184,871,474

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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Advisor Monitoring

Firm Stability Insights

William T. Fowler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ADVANTAGE INVESTMENT MANAGEMENT

SOUTHEAST INVESTMENTS, N.C., INC.

COMMONWEALTH FINANCIAL ADVISORS, LLC

LASALLE ST SECURITIES, L.L.C.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

ADVANTAGE INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 9/14/1998

Series 63

Date: 9/2/1998

SIE

Date: 1/13/2017

Series 31

Date: 9/18/1998

Series 7

Date: 8/27/1998

Current Firm

ADVANTAGE INVESTMENT MANAGEMENT

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADVANTAGE INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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