William H. Shriver

GILPIN WEALTH MANAGEMENT LLC

PARKER, CO

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CRD#: 3176403

Professional summary

William Howard Shriver, CFP® is a registered financial advisor currently at GILPIN WEALTH MANAGEMENT LLC located in Parker, Colorado.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. William has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

GILPIN WEALTH MANAGEMENT LLC; COLORADO SPRINGS, CO - INVESTMENT ADVISER REPRESENTATIVE - INVESTMENT RELATED - PROVIDES ADVISORY SERVICES - 80 HOURS/MONTH DURING TRADING, DUALLY REGISTERED TO SERVICE CLIENTS AS THEY TRANSITION FROM SHRIVER INVESTMENTS TO GILPIN WEALTH MANAGEMENT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Howard Shriver'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®

CFP^®

Certified Financial Planner

Start date: 2000

Experience

Current

September 6, 2023 - Present

GILPIN WEALTH MANAGEMENT LLC

RIA

CRD#: 311336

PARKER, CO

Past

August 15, 2008 - April 9, 2024

SHRIVER INVESTMENTS

RIA

CRD#: 147658

PARKER, CO

Past

January 5, 2004 - December 31, 2008

PINE CONE CAPITAL

RIA

CRD#: 129387

PARKER, CO

Past

September 21, 2000 - September 24, 2001

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

February 1, 1999 - October 3, 2000

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 1, 1999 - October 3, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

GILPIN WEALTH MANAGEMENT LLC

CRD#: 311336 / SEC#: 801-128788

RIA

Registered Investment Advisory firm - (9/25/2023 Approved)

Colorado

Registered Investment Advisory firm - (11/14/2024 Terminated)

Texas

Registered Investment Advisory firm - (11/12/2024 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

Colorado
(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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/15/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/22/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/30/1999

General Securities Representative Examination

Current Firm

GILPIN WEALTH MANAGEMENT LLC

CRD#: 311336 / SEC#: 801-128788

RIA

Registered Investment Advisory firm - (9/25/2023 Approved)

Colorado

Registered Investment Advisory firm - (11/14/2024 Terminated)

Texas

Registered Investment Advisory firm - (11/12/2024 Terminated)

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Contact information

Main Address

50 South Steele Street Suite 501, Denver, CO 80209

Mailing Address

Phone number

(720) 893-2800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (1/29/2025)

Regulatory assets under management

Total Number of Accounts	522
AUM (Assets Under Management)	$ 197,173,637

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 H. Shriver

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Howard Shriver's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHRIVER INVESTMENTS

PINE CONE CAPITAL

NEW ENGLAND SECURITIES

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

GILPIN WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/15/2007

Series 63

Date: 2/22/1999

Series 7

Date: 1/30/1999

Current Firm

GILPIN WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GILPIN WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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