William A. Duty

WHITE OAKS INVESTMENT MANAGEMENT,

SARASOTA, FL 34236

Some features on this profile are disabled

CRD#: 4864800

Professional summary

William Alexander Duty, who also goes by Alex Duty, is a registered financial advisor currently at WHITE OAKS INVESTMENT MANAGEMENT, INC located in Sarasota, Florida.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. William has worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alex Duty

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Alexander Duty'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

October 26, 2021 - Present

WHITE OAKS INVESTMENT MANAGEMENT, INC

Office #1: 1717 2nd Street Suite C, Sarasota, FL 34236

RIA

CRD#: 170016

SARASOTA, FL

Past

August 13, 2020 - November 5, 2021

WHITE OAKS WEALTH ADVISORS, INC.

RIA

CRD#: 173522

Sarasota, FL

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".

WHITE OAKS INVESTMENT MANAGEMENT, INC

CRD#: 170016 / SEC#: 801-79237

RIA

Registered Investment Advisory firm - (4/24/2014 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

Florida
(10/26/2021)

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

Current Firm

WHITE OAKS INVESTMENT MANAGEMENT, INC

CRD#: 170016 / SEC#: 801-79237

RIA

Registered Investment Advisory firm - (4/24/2014 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

1717 2nd Street Suite C, Sarasota, FL 34236

Mailing Address

Phone number

(941) 361-9000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

2025-03 WHITE OAKS INVESTMENT MANAGEMENT ADV PART 2A &B (3/12/2025)

Regulatory assets under management

Total Number of Accounts	11
AUM (Assets Under Management)	$ 427,107,764

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.

Similar Advisors

Lea Smith Johnson

OSAIC WEALTH, INC.

IAR

Bradenton, FL

John Darby

GRAHAM CAPITAL WEALTH MANAGEMENT, LLC

IAR

SARASOTA, FL

Adam Ausloos

ADVICEWORKS WEALTH ADVISORS

IAR

SARASOTA, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William A. Duty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Alexander Duty's CRS (Customer Relationship Summary).

Certified licenses

Experience

WHITE OAKS INVESTMENT MANAGEMENT, INC

WHITE OAKS WEALTH ADVISORS, INC.

Primary Firm SEC Registration

WHITE OAKS INVESTMENT MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Current Firm

WHITE OAKS INVESTMENT MANAGEMENT, INC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WHITE OAKS INVESTMENT MANAGEMENT, INC

TRUST BUT VERIFY

Similar Advisors