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WK

William Ketterer

SMITH GROUP ASSET MANAGEMENT
DALLAS, TX 75201
Some features on this profile are disabled
CRD#: 5660220
WK

Professional summary

William Ketterer, who also goes by William C Ketterer, is a registered financial advisor currently at SMITH GROUP ASSET MANAGEMENT, LLC located in Dallas, Texas.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. William has worked at 2 firms .

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

William C Ketterer

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 Ketterer'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

August 2, 2021 - Present

SMITH GROUP ASSET MANAGEMENT, LLC

Office #1: 100 Crescent Court Suite 1150, Dallas, TX 75201
RIA
CRD#: 313265
DALLAS, TX
Past

April 13, 2009 - October 5, 2021

SMITH GROUP ASSET MANAGEMENT

RIA
CRD#: 106301
DALLAS, TX

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".
SG
SMITH GROUP ASSET MANAGEMENT, LLC
SMITH ASSET GROUP MANAGEMENT, LLC | SMITH GROUP ASSET MANAGEMENT, LLC | SMITH ASSET MANAGEMENT GROUP

CRD#: 313265 / SEC#: 801-120777

RIA
Registered Investment Advisory firm - (5/5/2021 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
Texas
(8/2/2021)

Exams

Current Firm

SG
SMITH GROUP ASSET MANAGEMENT, LLC
SMITH ASSET GROUP MANAGEMENT, LLC | SMITH GROUP ASSET MANAGEMENT, LLC | SMITH ASSET MANAGEMENT GROUP

CRD#: 313265 / SEC#: 801-120777

RIA
Registered Investment Advisory firm - (5/5/2021 Approved)
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Contact information

Main Address
100 Crescent Court, Dallas, TX 75201
Mailing Address
Phone number
(214) 880-4600
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (39 States and Territories)

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Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SMITH GROUP ASSET MANAGEMENT, LLC ADV PART 2 (5/8/2025)

Regulatory assets under management

Total Number of Accounts1,509
AUM (Assets Under Management)$ 1,714,189,276

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

SMITH GROUP ASSET MANAGEMENT, LLC

CRD#: 313265Dallas, TX 75201

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