WS
William A. Sweet
RITHOLTZ WEALTH MANAGEMENT
New York, NY 10018
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CRD#: 5420425
WS
Professional summary
William Alan Sweet, CFP®, who also goes by William A. Sweet, is a registered financial advisor currently at RITHOLTZ WEALTH MANAGEMENT located in New York, New York.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. William has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William A. Sweet
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.
STEVENS & SWEET INC. POSITION: PRESIDENT NATURE: FINANCIAL SERVICES OR ADVISOR ACTIVITIES NOT THROUGH H. BECK, INC. INVESTMENT RELATED: NO NUMBER OF HOURS: 180 INVESTMENT RELATED HOURS: 160 START DATE: 04/18/2012 ADDRESS: 9 STORE ROAD, PO BOX 607, TUXEDO NY 10987 DESCRIPTION: ACCOUNTING AND TAX PREPARATION 9 STORE ROAD LLC POSITION: MANAGING MEMBER NATURE: OTHER OBA INVESTMENT RELATED: NO NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/31/2015 ADDRESS: 9 STORE ROAD, TUXEDO NY 10987 DESCRIPTION: PROPERTY MANAGER FOR FIVE-UNIT RESIDENTIAL/COMMERCIAL BUILDING RWM Tax LLC; Owner; Entity owned by RWM that provides Tax Planning Services; 5/2021; 2 hours per month. Ritholtz Insurance LLC; Entity owned by RWM that provides Fixed Insurance products; 3/2019;0 hours per month. Compound Media, Inc.; Owner; Content Marketing: paid sponsorship of blog / website / video content; 1/2019; 0 hours per month. Sweet Motion LLC; investment-related; "Sweet Motion LLC makes small venture investments in small financial technology companies providing services to investment advisors. There have three been minority stake investments: (1) Yellowbrick Investing Inc. (2) Securitize, Inc. (F/k/a OnRamp) (3) Quartr AB "; 3/2021; 0 hours per month. Advisors Circle Inc.; investment-related; Owner; Partnership entity that owns shares of Advisors Circle, LLC, a Boston, MA entity manages trade shows and conferences for investment advisors; 8/2020; 0 hours per month. OnRamp Invest LLC; Ownership interest in OnRamp Invest, LLC, a platform that hosts the RWM/WisdomTree Crypto Index Portfolio; 12/2021; 0 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view William Alan Sweet'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®
Experience
Current
June 21, 2021 - Present
RITHOLTZ WEALTH MANAGEMENT
Office #1: 24 West 40th Street 15th Floor, New York, NY 10018RIA
CRD#: 168652
New York, NY
Past
June 18, 2009 - January 28, 2016
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
TUXEDO, NY
Past
December 10, 2007 - June 18, 2009
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
TUXEDO, 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".
RW
RITHOLTZ WEALTH MANAGEMENT
COMPREHENSIVE PORTFOLIO MANAGEMENT, LLC | RITHOLTZ WEALTH MANAGEMENT | RITHOLTZ & CO. | LIFTOFF | GOOD ADVICE
CRD#: 168652 / SEC#: 801-78479
RIA
Registered Investment Advisory firm - (9/16/2013 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
New York(6/21/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RW
RITHOLTZ WEALTH MANAGEMENT
COMPREHENSIVE PORTFOLIO MANAGEMENT, LLC | RITHOLTZ WEALTH MANAGEMENT | RITHOLTZ & CO. | LIFTOFF | GOOD ADVICE
CRD#: 168652 / SEC#: 801-78479
RIA
Registered Investment Advisory firm - (9/16/2013 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
24 West 40th Street 15th Floor, New York, NY 10018
Mailing Address
Phone number
(212) 625-1200
Established
Firm type
Fiscal year end
# of Employees
71
SEC notice filing (48 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,801 |
| AUM (Assets Under Management) | $ 6,459,181,176 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/28/2025 | ||
| 04/10/2024 |
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.
