AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
WN

William D. Neal

NICOLET WEALTH MANAGEMENT
Dubuque, IA 52004
Some features on this profile are disabled
CRD#: 5925526
WN

Professional summary

William Douglas Neal, who also goes by Bill Douglas Neal, is a registered financial advisor currently at NICOLET WEALTH MANAGEMENT located in Dubuque, Iowa.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. William has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Bill Douglas Neal

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 Douglas Neal'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

April 27, 2026 - Present

NICOLET WEALTH MANAGEMENT

Office #1: 895 Main St, Dubuque, IA 52004
RIA
CRD#: 283940
Dubuque, IA
Past

June 13, 2011 - September 24, 2018

ATCAPITAL MANAGEMENT

RIA
CRD#: 140215
DUBUQUE, IA

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".
NW
NICOLET WEALTH MANAGEMENT
NICOLET ADVISORY SERVICES, LLC | NICOLET WEALTH MANAGEMENT, LLC | NICOLET WEALTH MANAGEMENT

CRD#: 283940 / SEC#: 801-108012

RIA
Registered Investment Advisory firm - (8/5/2016 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
Iowa
(4/27/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/17/2026
Uniform Investment Adviser Law Examination

Current Firm

NW
NICOLET WEALTH MANAGEMENT
NICOLET ADVISORY SERVICES, LLC | NICOLET WEALTH MANAGEMENT, LLC | NICOLET WEALTH MANAGEMENT

CRD#: 283940 / SEC#: 801-108012

RIA
Registered Investment Advisory firm - (8/5/2016 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
111 N. Washington Street, Green Bay, WI 54301
Mailing Address
Phone number
(920) 430-1400
Established
Firm type
Fiscal year end
# of Employees
70

SEC notice filing (17 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

NWM - RETIREMENT PLAN SERVICES (3/28/2025)
WRAP FEE BROCHURE FOR NICOLET ADVISORY SERVICES, LLC (3/28/2025)

Regulatory assets under management

Total Number of Accounts8,809
AUM (Assets Under Management)$ 3,849,158,087

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

NICOLET WEALTH MANAGEMENT

CRD#: 283940Dubuque, IA 52004

TRUST BUT VERIFY

Monitor William Neal

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

CS
Cale SmithAdvisorCheck Check Mark
BASTION FIDUCIARY
IAR
ISLAMORADA, FL
George Joseph Simon JR
George SimonAdvisorCheck Check Mark
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
IAR
RR
Chesterfield, MO
Brennan William Fontana
Brennan FontanaAdvisorCheck Check Mark
LIDO
IAR
San Diego, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.