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William M. Rose

Some features on this profile are disabled
CRD#: 5106771
WR

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William Michael Rose was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 2006. William had worked at 1 firm .

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 24, 2006 - March 6, 2012

OKABENA INVESTMENT SERVICES INC

RIA
CRD#: 111162
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".
OI
OKABENA INVESTMENT SERVICES INC
OKABENA ADVISORS | OKABENA INVESTMENT SERVICES INC

CRD#: 111162 / SEC#: 801-47929

RIA
Registered Investment Advisory firm - (11/29/1994 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Current Firm

OI
OKABENA INVESTMENT SERVICES INC
OKABENA ADVISORS | OKABENA INVESTMENT SERVICES INC

CRD#: 111162 / SEC#: 801-47929

RIA
Registered Investment Advisory firm - (11/29/1994 Approved)
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Contact information

Main Address
4200 Ids Center 80 S Eighth Street, Minneapolis, MN 55402-4523
Mailing Address
Phone number
(612) 339-7151
Established
Firm type
Fiscal year end
# of Employees
18

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

OKABENA 3-24-25 FINAL FORM ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts303
AUM (Assets Under Management)$ 1,848,712,472

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/20/2025
Cover Page
Report
09/09/2024
Cover Page
Report
10/20/2023
Cover Page
Report
12/19/2022
Cover Page
Report

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.

Company Information

OKABENA INVESTMENT SERVICES INC

CRD#: 111162

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