DW
David W. Wiley Iii
&PARTNERS
Nashville, TN 37215
Some features on this profile are disabled
CRD#: 720094
DW
Professional summary
David Warren Wiley Iii III, CFP®, who also goes by David Warren Wiley III, is a registered financial advisor currently at &PARTNERS located in Nashville, Tennessee.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. David has worked at 2 firms and has passed the Series 65, Series 63, Series 62, Series 79TO, Series 52TO, Series 99TO, SIE, Series 7, Series 27, Series 53, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Warren Wiley Iii
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.
HAWKER 800XP LLC POSITION: CHIEF MANAGER NATURE: LLC OWNS 1/4 INTEREST OF A PRIVATE AIRCRAFT FOR PERSONAL USE INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/06/2024 ADDRESS: NASHVILLE TN 37215, United States DESCRIPTION: ADMIN OF AIRCRAFT 375 ELIZABETH LANE LLC POSITION: CHIEF MANAGER NATURE: ENTITY THAT OWNS A VACATION HOME INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/06/2024 ADDRESS: NASHVILLE TN 37215, United States DESCRIPTION: PERSONAL USE OF HOME WILEY INC POSITION: President NATURE: No current activity post sale of WBAC. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/05/2021 ADDRESS: Nashville, TN, United States DESCRIPTION: Former investment member of WBAC LLC AMPERSAND PARTNERS LLC POSITION: Board Member NATURE: Wealth Management Holding Company INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2023 ADDRESS: St. Louis, MO 63105, United States SAUSSY BURBANK HOMES POSITION: Board Member NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/06/2016 ADDRESS: Charlotte, NC 28217, United States DESCRIPTION: home building TURNBERRY HOMES POSITION: Board Member NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/26/2023 ADDRESS: Brentwood, TN, United States DESCRIPTION: home building
CRS (Client Relationship Summary) - RIA
Click below to view David Warren Wiley Iii III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Warren Wiley Iii III'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®
CFP®
Start date: 1993
Experience
Current
October 11, 1994 - Present
&PARTNERS
Office #1: 40 Burton Hills Blvd Suite 350, Nashville, TN 37215RIA
BD
CRD#: 3767
Nashville, TN
Current
December 1, 1980 - Present
&PARTNERS
Office #1: 40 Burton Hills Blvd Suite 350, Nashville, TN 37215RIA
BD
CRD#: 3767
Nashville, TN
Past
May 24, 2010 - August 21, 2023
HILLSBORO ADVISORS, LLC
RIA
CRD#: 153700
NASHVILLE, TN
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".
&PARTNERS
&PARTNERS | WISEPATH WEALTH MANAGEMENT | WISE & PARTNERS | WILTON SPRINGS FINANCIAL | WILTON SPRINGS | WILLOWSTONE WEALTH MANAGEMENT | WILEY BROS.-AINTREE, LLC | WILEY BROS.-AINTREE CAPITAL, LLC | WILEY BROS.-AINTREE CAPITAL | WILEY BROS. INC. | WILEY BROS. - AINTREE CAPITAL | WAVEWOOD PRIVATE WEALTH | VON HELLENS &PARTNERS | VIRIBUS WEALTH MANAGEMENT | UNNERSTALL WEALTH MANAGEMENT | TRIUNE WEALTH MANAGEMENT | TRILLIUM WEALTH | TRIDENT WEALTH MANAGEMENT GROUP | THIRD COAST WEALTH PLANNING | THAMES PRIVATE WEALTH STRATEGIES | TEDERS & QUAKENBUSH WEALTH MANAGEMENT GROUP | SWARTZENTRUBER WEALTH MANAGEMENT | STREAMLINE PRIVATE WEALTH | STILES FINANCIAL | STEELCREST INVESTMENT STRATEGIES | STANFORD WEALTH MANAGEMENT GROUP | STANFORD WEALTH MANAGEMENT | SCHMIEDBAUER INVESTMENTS &PARTNERS | ROY, TEDESCHI, SCHMIDT PRIVATE WEALTH | ROOKS&PARTNERS | ROOKS &PARTNERS - INVERNESS, FL | RIVERLINE WEALTH | RIAZZI, RHYNE & SWAIM INVESTMENT GROUP | PRAIRIE HERITAGE FINANCIAL | POWER 5 PALESTINE, TX | POWER 5 FINANCIAL | POWER 5 - TYLER TX | POWER 5 - PALESTINE TX | POWER 5 - OLYMPIA, WA | POWER 5 - OLYMPIA WA | PLAIDSKY ADVISORS | PALM SHORES WEALTH | ONE PRIVATE WEALTH | NOBLES GROOMS WEALTH ADVISORS | MERIDIAN | MARSTELLER WEALTH / TEAGLE WEALTH/ COMPTON WEALTH / KLEINSCHUSTER WEALTH MANAGEMENT | MARSTELLER WEALTH | MARNE WEALTH MANAGEMENT | LODGEVIEW WEALTH ADVISORS | LINKS PRIVATE WEALTH | LANG INVESTMENT GROUP | IVY CREST WEALTH MANAGEMENT | INDIGO ADVISORS | HERITAGE LAKE ADVISORS | HELIX PRIVATE WEALTH | HARVEST POINT WEALTH ADVISORS | GUIDENT WEALTH MANAGEMENT | FOCUS CAPITAL PARTNERS PRIVATE WEALTH | FOCUS CAPITAL PARTNERS | FIRST SERVANT WEALTH MANAGEMENT | FIRST KEYSTONE WEALTH MANAGEMENT | ENTANDEM WEALTH ADVISORS | ENSEMBLE WEALTH PLANNING | ELEVISION WEALTH MANAGEMENT | ELEIVA FINANCIAL | DAVIDSON WEALTH MANAGEMENT | CRESTVIEW CAPITAL ADVISORS | CREECH SCHWARTZ WEALTH MANAGEMENT | CREECH SCHWARTZ PRIVATE MANAGEMENT GROUP | COTTAGE WEALTH ADVISORS | CORIOLIS WEALTH MANAGEMENT | CENTERCOAST PRIVATE WEALTH | CARVE ADVISORS | CANYON RIVER WEALTH PLANNING | BRIO WEALTH SOLUTIONS - BOBBI BOSTICK | BRIO WEALTH SOLUTIONS | BRIDGEWATER PRIVATE WEALTH | BRIDGEMILL PRIVATE WEALTH | BLACKLOCK WEALTH MANAGEMENT | BASE CAPITAL PARTNERS | ARBOR ROW ADVISORS | ARBOR AVENUE PRIVATE WEALTH | APRICITY ADVISORS | APRICITY ADVISOR | AGAPE WEALTH STRATEGIES | AERIAL WEALTH ADVISORS | 49 NORTH ADVISORS | 1828 CAPITAL | &PARTNERS OSJ AND MARTIN WRIGHT GROUP
CRD#: 3767 / SEC#: 801-37145, 8-3774
RIA
Registered Investment Advisory firm - SEC (10/25/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/25/1981)
RR
Alaska(11/9/1993)
RR
Arizona(1/4/1995)
RR
Arkansas(9/29/1993)
RR
California(11/5/1993)
RR
Colorado(2/3/1999)
RR
Connecticut(7/12/1994)
RR
Delaware(2/3/1999)
RR
District of Columbia(3/22/1995)
RR
Florida(8/2/1993)
RR
Georgia(8/16/1994)
RR
Hawaii(8/3/1994)
RR
Idaho(6/29/2015)
RR
Illinois(8/16/1994)
RR
Indiana(1/3/1995)
RR
Iowa(10/11/1994)
RR
Kansas(7/6/1998)
RR
Kentucky(1/4/1995)
RR
Louisiana(2/24/1994)
RR
Maine(1/17/1995)
RR
Maryland(11/26/1994)
RR
Massachusetts(6/2/1994)
RR
Michigan(6/28/1994)
RR
Minnesota(8/19/1994)
RR
Mississippi(11/8/1993)
RR
Missouri(7/17/1996)
RR
Montana(6/29/2015)
RR
Nebraska(5/17/2010)
RR
Nevada(2/24/1994)
RR
New Hampshire(7/26/1994)
RR
New Jersey(8/17/1994)
RR
New Mexico(4/5/1994)
RR
New York(11/5/1993)
RR
North Carolina(8/14/1982)
RR
North Dakota(6/29/2015)
RR
Ohio(2/17/1994)
RR
Oklahoma(10/24/1994)
RR
Oregon(7/5/1994)
RR
Pennsylvania(4/12/1994)
RR
Rhode Island(8/1/1994)
RR
South Carolina(6/16/1999)
RR
South Dakota(6/29/2015)
RR
Tennessee(12/11/1980)
IAR
Tennessee(5/28/2004)
RR
Texas(8/16/1994)
RR
Utah(10/8/1994)
RR
Vermont(7/25/1994)
RR
Virginia(11/8/1993)
RR
Washington(7/26/1994)
RR
West Virginia(10/20/1995)
RR
Wisconsin(10/17/1995)
RR
Wyoming(3/19/1998)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
&PARTNERS
&PARTNERS | WISEPATH WEALTH MANAGEMENT | WISE & PARTNERS | WILTON SPRINGS FINANCIAL | WILTON SPRINGS | WILLOWSTONE WEALTH MANAGEMENT | WILEY BROS.-AINTREE, LLC | WILEY BROS.-AINTREE CAPITAL, LLC | WILEY BROS.-AINTREE CAPITAL | WILEY BROS. INC. | WILEY BROS. - AINTREE CAPITAL | WAVEWOOD PRIVATE WEALTH | VON HELLENS &PARTNERS | VIRIBUS WEALTH MANAGEMENT | UNNERSTALL WEALTH MANAGEMENT | TRIUNE WEALTH MANAGEMENT | TRILLIUM WEALTH | TRIDENT WEALTH MANAGEMENT GROUP | THIRD COAST WEALTH PLANNING | THAMES PRIVATE WEALTH STRATEGIES | TEDERS & QUAKENBUSH WEALTH MANAGEMENT GROUP | SWARTZENTRUBER WEALTH MANAGEMENT | STREAMLINE PRIVATE WEALTH | STILES FINANCIAL | STEELCREST INVESTMENT STRATEGIES | STANFORD WEALTH MANAGEMENT GROUP | STANFORD WEALTH MANAGEMENT | SCHMIEDBAUER INVESTMENTS &PARTNERS | ROY, TEDESCHI, SCHMIDT PRIVATE WEALTH | ROOKS&PARTNERS | ROOKS &PARTNERS - INVERNESS, FL | RIVERLINE WEALTH | RIAZZI, RHYNE & SWAIM INVESTMENT GROUP | PRAIRIE HERITAGE FINANCIAL | POWER 5 PALESTINE, TX | POWER 5 FINANCIAL | POWER 5 - TYLER TX | POWER 5 - PALESTINE TX | POWER 5 - OLYMPIA, WA | POWER 5 - OLYMPIA WA | PLAIDSKY ADVISORS | PALM SHORES WEALTH | ONE PRIVATE WEALTH | NOBLES GROOMS WEALTH ADVISORS | MERIDIAN | MARSTELLER WEALTH / TEAGLE WEALTH/ COMPTON WEALTH / KLEINSCHUSTER WEALTH MANAGEMENT | MARSTELLER WEALTH | MARNE WEALTH MANAGEMENT | LODGEVIEW WEALTH ADVISORS | LINKS PRIVATE WEALTH | LANG INVESTMENT GROUP | IVY CREST WEALTH MANAGEMENT | INDIGO ADVISORS | HERITAGE LAKE ADVISORS | HELIX PRIVATE WEALTH | HARVEST POINT WEALTH ADVISORS | GUIDENT WEALTH MANAGEMENT | FOCUS CAPITAL PARTNERS PRIVATE WEALTH | FOCUS CAPITAL PARTNERS | FIRST SERVANT WEALTH MANAGEMENT | FIRST KEYSTONE WEALTH MANAGEMENT | ENTANDEM WEALTH ADVISORS | ENSEMBLE WEALTH PLANNING | ELEVISION WEALTH MANAGEMENT | ELEIVA FINANCIAL | DAVIDSON WEALTH MANAGEMENT | CRESTVIEW CAPITAL ADVISORS | CREECH SCHWARTZ WEALTH MANAGEMENT | CREECH SCHWARTZ PRIVATE MANAGEMENT GROUP | COTTAGE WEALTH ADVISORS | CORIOLIS WEALTH MANAGEMENT | CENTERCOAST PRIVATE WEALTH | CARVE ADVISORS | CANYON RIVER WEALTH PLANNING | BRIO WEALTH SOLUTIONS - BOBBI BOSTICK | BRIO WEALTH SOLUTIONS | BRIDGEWATER PRIVATE WEALTH | BRIDGEMILL PRIVATE WEALTH | BLACKLOCK WEALTH MANAGEMENT | BASE CAPITAL PARTNERS | ARBOR ROW ADVISORS | ARBOR AVENUE PRIVATE WEALTH | APRICITY ADVISORS | APRICITY ADVISOR | AGAPE WEALTH STRATEGIES | AERIAL WEALTH ADVISORS | 49 NORTH ADVISORS | 1828 CAPITAL | &PARTNERS OSJ AND MARTIN WRIGHT GROUP
CRD#: 3767 / SEC#: 801-37145, 8-3774
RIA
Registered Investment Advisory firm - SEC (10/25/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
40 Burton Hills Blvd. Suite 350, Nashville, TN 37215
Mailing Address
40 Burton Hills Blvd. Suite 350, Nashville, TN 37215
Phone number
(615) 255-6431
Established
Tennessee since 12/07/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
475
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPERSAND PARTNERS, LLC | OWNER | |
| ALEXANDER, JOHN W | CO-PRESIDENT | 2327561 |
| COOPER, CHYRLAN ELIZABETH | COO | 4160240 |
| IDOL, KALEY PORTER | CHIEF COMPLIANCE OFFICER | 6950052 |
| KOWACH, DAVID JOHN | CEO | 2154665 |
| NELSON, RICHARD SCOTT | CFO | 5014790 |
| SCHALLER, MICHAEL CHRISTOPHER | CONTROLLER/FINOP | 5899085 |
| STEVENS, ALYSON MENCIO | CHIEF COMPLIANCE OFFICER - ADVISORY BUSINESS | 5451096 |
| WILEY III, DAVID WARREN III | CO-PRESIDENT | 720094 |
Regulatory assets under management
| Total Number of Accounts | 32,200 |
| AUM (Assets Under Management) | $ 14,146,591,395 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/29/2025 | ||
| 12/29/2023 | ||
| 01/03/2023 |
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.
