WM
William M. Marks
CORIENT
Houston, TX 77019
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CRD#: 6156155
WM
Professional summary
William Miles Marks, who also goes by W. Miles Marks, Miles Marks, is a registered financial advisor currently at CORIENT located in Houston, Texas.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. 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
W. Miles Marks | Miles Marks
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.
SINCE 01/2013, MR. MARKS HAS BEEN A FULL-TIME EMPLOYEE OF AVALON ADVISORS, LLC ("AVALON"), A FEDERALLY REGISTERED INVESTMENT ADVISER, AND A PART-TIME EMPLOYEE OF AVALON'S WHOLLY OWNED BROKER-DEALER SUBSIDIARY, AVALON WEALTH MANAGEMENT LLC ("AWM"), BOTH LOCATED AT 2929 ALLEN PARKWAY, SUITE 3000, HOUSTON, TEXAS, 77019. MR. MARKS SERVES AS A DIRECTOR, CLIENT DEVELOPMENT OF AVALON. AWM IS A BROKER-DEALER WHOSE ACTIVITIES ARE LIMITED TO PRIVATE PLACEMENTS OF INVESTMENT FUNDS AND DISTRIBUTION OF UNLISTED, CONTINUOUSLY OFFERED CLOSED-END REGISTERED COMPANIES SPONSORED BY AVALON. MR. MARKS SERVES AT AWM AS A DIRECT PARTICIPATION PROGRAM REPRESENTATIVE, SPENDING APPROXIMATELY 20 HOURS PER MONTH, ONE HOUR PER DAY DURING TRADING HOURS, MAKING PRESENTATIONS TO THOSE QUALIFIED INVESTORS (PRIMARILY CLIENTS OR PROSPECTIVE CLIENTS OF AVALON) WHOSE INVESTMENT OBJECTIVES AND OTHER FACTORS SUGGEST THEY ARE SUITABLE TO INVEST IN ONE OR MORE PRIVATE FUNDS. BEGINNING IN 1998, MR. MARKS HAS PROVIDED CONTRACT BOOKKEEPING / ACCOUNTING SERVICES OF 2 - 3 HOURS PER MONTH FOR. SKYE PROPERTIES, INC., A FAMILY-OWNED PARTNERSHIP HOLDING OIL ROYALTIES. SKYE IS LOCATED AT 6020 INWOOD DR., HOUSTON, TX 77057. NOT INVESTMENT RELATED. MR., MARKS HOLDS NO POSITION OR TITLE; HE DEVOTES NO TIME TO THIS DUTY DURING SECURITIES TRADING HOURS. SINCE 05/2013 MR. MARKS HAS SERVED AS AN ADVISORY BOARD MEMBER OF CADENCE BANK HOUSTON (2800 POST OAK BLVD #100, HOUSTON, TX 77056) PROVIDING MARKETING AND STRATEGIC DIRECTION FOR COMMERCIAL, SMALL BUSINESS AND PERSONAL BANKING STRATEGY IN THE HOUSTON MARKET. HE SPENDS APPROXIMATELY TWO HOURS PER MONTH, OUTSIDE OF TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view William Miles Marks'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®
NoneExperience
Current
May 2, 2023 - Present
CORIENT
Office #1: 2929 Allen Parkway L14-80, Houston, TX 77019RIA
CRD#: 319448
Houston, TX
Past
April 18, 2013 - July 21, 2023
AVALON INVESTMENT & ADVISORY
RIA
CRD#: 112556
HOUSTON, TX
Past
April 18, 2013 - May 5, 2023
AVALON WEALTH MANAGEMENT LLC
BD
CRD#: 162745
HOUSTON, 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".
CO
CORIENT
BALASA DINVERNO & FOLTZ | WINDSOR WEALTH MANGMENT | RGT WEALTH ADVISORS | REGENTATLANTIC | R.H. BLUESTEIN & CO | PORTOLA PARTNERS GROUP | PORTOLA PARTNERS | NTERCONTINENTAL WEALTH ADVISORS | MCCUTCHEN WEALTH MANAGEMENT | MCCUTCHEN GROUP | MATRIX CAPITAL ADVISORS | GOFEN AND GLOSSBERG | GALAPAGOS WEALTH MANAGEMENT | DOYLE WEALTH MANAGEMENT | DOWLING & YAHNKE WEALTH ADVISORS | CORIENT PRIVATE WEALTH LLC | CORIENT CAPITAL PARTNERS | CORIENT | CI SUREVEST PRIVATE WEALTH | CI STAVIS & COHEN PRIVATE WEALTH | CI SEGALL BRYANT & HAMILL PRIVATE WEALTH | CI ROOSEVELT PRIVATE WEALTH | CI RGT PRIVATE WEALTH | CI REGENTATLANTIC PRIVATE WEALTH | CI RADNOR PRIVATE WEALTH | CI PRIVATE WEALTH, LLC | CI PRIVATE WEALTH | CI PORTOLA PRIVATE WEALTH | CI MCCUTCHEN PRIVATE WEALTH | CI MATRIX PRIVATE WEALTH | CI KORE PRIVATE WEALTH | CI INVERNESS PRIVATE WEALTH | CI GOFEN & GLOSSBERG PRIVATE WEALTH | CI GALAPAGOS PRIVATE WEALTH | CI EATON PRIVATE WEALTH | CI DOYLE PRIVATE WEALTH | CI DOWLING & YAHNKE PRIVATE WEALTH | CI CORIENT PRIVATE WEALTH | CI COLUMBIA PACIFIC PRIVATE WEALTH | CI BUDROS RUHLIN ROE PRIVATE WEALTH | CI BRIGHTWORTH PRIVATE WEALTH | CI BOWLING PRIVATE WEALTH | CI BLUESTEIN PRIVATE WEALTH | CI BDF PRIVATE WEALTH | CI BDF | CI BARRETT PRIVATE WEALTH | CI AVALON PRIVATE WEALTH | BUDROS, RUHLIN & ROE | BRR | BOWLING PORTFOLIO MANGEMENT
CRD#: 319448 / SEC#: 801-124978
RIA
Registered Investment Advisory firm - (5/12/2022 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(5/2/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CO
CORIENT
BALASA DINVERNO & FOLTZ | WINDSOR WEALTH MANGMENT | RGT WEALTH ADVISORS | REGENTATLANTIC | R.H. BLUESTEIN & CO | PORTOLA PARTNERS GROUP | PORTOLA PARTNERS | NTERCONTINENTAL WEALTH ADVISORS | MCCUTCHEN WEALTH MANAGEMENT | MCCUTCHEN GROUP | MATRIX CAPITAL ADVISORS | GOFEN AND GLOSSBERG | GALAPAGOS WEALTH MANAGEMENT | DOYLE WEALTH MANAGEMENT | DOWLING & YAHNKE WEALTH ADVISORS | CORIENT PRIVATE WEALTH LLC | CORIENT CAPITAL PARTNERS | CORIENT | CI SUREVEST PRIVATE WEALTH | CI STAVIS & COHEN PRIVATE WEALTH | CI SEGALL BRYANT & HAMILL PRIVATE WEALTH | CI ROOSEVELT PRIVATE WEALTH | CI RGT PRIVATE WEALTH | CI REGENTATLANTIC PRIVATE WEALTH | CI RADNOR PRIVATE WEALTH | CI PRIVATE WEALTH, LLC | CI PRIVATE WEALTH | CI PORTOLA PRIVATE WEALTH | CI MCCUTCHEN PRIVATE WEALTH | CI MATRIX PRIVATE WEALTH | CI KORE PRIVATE WEALTH | CI INVERNESS PRIVATE WEALTH | CI GOFEN & GLOSSBERG PRIVATE WEALTH | CI GALAPAGOS PRIVATE WEALTH | CI EATON PRIVATE WEALTH | CI DOYLE PRIVATE WEALTH | CI DOWLING & YAHNKE PRIVATE WEALTH | CI CORIENT PRIVATE WEALTH | CI COLUMBIA PACIFIC PRIVATE WEALTH | CI BUDROS RUHLIN ROE PRIVATE WEALTH | CI BRIGHTWORTH PRIVATE WEALTH | CI BOWLING PRIVATE WEALTH | CI BLUESTEIN PRIVATE WEALTH | CI BDF PRIVATE WEALTH | CI BDF | CI BARRETT PRIVATE WEALTH | CI AVALON PRIVATE WEALTH | BUDROS, RUHLIN & ROE | BRR | BOWLING PORTFOLIO MANGEMENT
CRD#: 319448 / SEC#: 801-124978
RIA
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Contact information
Main Address
830 Brickell Plaza Suite 4800, Miami, FL 33131
Mailing Address
830 Brickell Plaza Suite 4800, Miami, FL 33131
Phone number
(305) 735-2020
Established
Firm type
Fiscal year end
# of Employees
1,181
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 109,685 |
| AUM (Assets Under Management) | $ 143,628,532,902 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/28/2024 | ||
| 10/27/2023 | ||
| 05/03/2023 |
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.
