WC
William Chapman
AWM CAPITAL
Pasadena, CA 91105
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CRD#: 7686848
WC
Professional summary
William Chapman, who also goes by William Alexander Chapman, is a registered financial advisor currently at AWM CAPITAL, LLC located in Pasadena, California.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. William has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William Alexander Chapman
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.
CRS (Client Relationship Summary) - RIA
Click below to view William Chapman'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
April 8, 2026 - Present
AWM CAPITAL, LLC
Office #1: 87 E. Green Street, Suite 206, Pasadena, CA 91105RIA
CRD#: 287980
Pasadena, CA
Past
November 25, 2024 - April 13, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LOS ANGELES, CA
Past
November 25, 2024 - April 13, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LOS ANGELES, CA
Past
April 10, 2023 - January 6, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
LOS ANGELES, CA
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".
AC
AWM CAPITAL, LLC
ATHLETE WEALTH MANAGEMENT | AWM CAPITAL, LLC | AWM CAPITAL TAX | AWM
CRD#: 287980 / SEC#: 801-114373
RIA
Registered Investment Advisory firm - (12/3/2018 Approved)Arizona
Registered Investment Advisory firm - (3/16/2020 Terminated)California
Registered Investment Advisory firm - (4/15/2020 Terminated)Florida
Registered Investment Advisory firm - (3/16/2020 Terminated)Louisiana
Registered Investment Advisory firm - (3/19/2020 Terminated)New Hampshire
Registered Investment Advisory firm - (3/27/2020 Terminated)North Carolina
Registered Investment Advisory firm - (4/2/2020 Terminated)Texas
Registered Investment Advisory firm - (3/16/2020 Terminated)Washington
Registered Investment Advisory firm - (5/1/2020 Terminated)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
California(4/8/2026)
IAR
Texas(4/8/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/3/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 4/10/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Current Firm
AC
AWM CAPITAL, LLC
ATHLETE WEALTH MANAGEMENT | AWM CAPITAL, LLC | AWM CAPITAL TAX | AWM
CRD#: 287980 / SEC#: 801-114373
RIA
Registered Investment Advisory firm - (12/3/2018 Approved)Arizona
Registered Investment Advisory firm - (3/16/2020 Terminated)California
Registered Investment Advisory firm - (4/15/2020 Terminated)Florida
Registered Investment Advisory firm - (3/16/2020 Terminated)Louisiana
Registered Investment Advisory firm - (3/19/2020 Terminated)New Hampshire
Registered Investment Advisory firm - (3/27/2020 Terminated)North Carolina
Registered Investment Advisory firm - (4/2/2020 Terminated)Texas
Registered Investment Advisory firm - (3/16/2020 Terminated)Washington
Registered Investment Advisory firm - (5/1/2020 Terminated)PREMIUM
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Contact information
Main Address
1 N. 1st Street Suite 525, Phoenix, AZ 85004
Mailing Address
5227 N 7th St Ste 18036, Phoenix, AZ 85014
Phone number
(323) 940-1339
Established
Firm type
Fiscal year end
# of Employees
27
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,586 |
| AUM (Assets Under Management) | $ 1,152,024,220 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/16/2024 | ||
| 04/15/2024 | ||
| 01/24/2023 |
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.
