WL
William J. Lawton
CAPITAL MARKETS IQ
Davis, CA 95616
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CRD#: 865963
WL
Professional summary
William John Penson Lawton, who also goes by William J P Lawton, Bill Lawton, is a registered financial advisor currently at CAPITAL MARKETS IQ, LLC located in Davis, California.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. William has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William J P Lawton | Bill Lawton
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.
1) Chairman & CEO of Seagate Global Group, a private investment and trading operation located at 1520 E. Covell Blvd., Ste B5 #325, Davis CA 95616. Manages Seagate Global Resources LLC, an affiliated company involved in box and paper recycling in the U.S.; primarily provides financial and economic advice. He spends approximately 30 hours per week, 10 hours of which are during trading hours related to this activity. 2) Senior Advisor with SeaSpire Advisors, LLC, a merchant bank located at 310 S. Michigan Ave., Suite 1303, Chicago, IL 60604. Duties include advisory work and consulting. Start date: February 2014. 4 hours/week, zero during trading hours. Investment-related.
CRS (Client Relationship Summary) - RIA
Click below to view William John Penson Lawton'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
September 30, 2016 - Present
CAPITAL MARKETS IQ, LLC
Office #1: 1520 E Covell Blvd Suite B5, #325, Davis, CA 95616RIA
CRD#: 134921
Davis, CA
Past
April 3, 2014 - December 17, 2014
DINOSAUR FINANCIAL GROUP, L.L.C
BD
CRD#: 104446
san jose, CA
Past
December 19, 2013 - September 30, 2016
CONCERT WEALTH MANAGEMENT
RIA
CRD#: 141253
NEWPORT BEACH, CA
Past
March 15, 2000 - December 31, 2004
SEAGATE GLOBAL ADVISORS LLC
RIA
CRD#: 108555
REDONDO BEACH, CA
Past
August 24, 1998 - June 30, 2014
BLUEPRINT CAPITAL MARKETS
BD
CRD#: 44323
REDONDO BEACH, CA
Past
November 25, 1997 - September 1, 1998
GOVERNMENT PERSPECTIVES, LLC
BD
CRD#: 39276
Past
April 7, 1997 - September 1, 1998
GOVERNMENT PERSPECTIVES, LLC
BD
CRD#: 39276
LAFAYETTE, 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".
CM
CAPITAL MARKETS IQ, LLC
0X PRIVATE WEALTH | WEISE CAPITAL ADVISERS | VERACITY FINANCIAL SERVICES | VERACITY ADVISORS | THE SKYHAWK ETF STRATEGY | TANDEM FINANCIAL | SURETY WEALTH MANAGEMENT | SECURE RETIREMENT SOLUTIONS | SEAGATE GLOBAL WEALTH MANAGEMENT | SAGE CAPITAL ADVISORS | RETIRE ORLANDO | PENG FINANCIAL GROUP | NOBLESTONE CAPITAL ADVISORS | MONAMIE WEALTH & RETIREMENT | LONGHORN WEALTH MANAGEMENT, LLC | LONGHORN CAPITAL MANAGEMENT, LLC | LONGHORN CAPITAL ADVISORS | KUZMA FINANCIAL SERVICES | KOI STRATEGIES | KING HARBOR WEALTH MANAGEMENT | IQINVEST | INTRALINE ASSET MANAGEMENT | FIRST SECURITY INVESTMENTS ADVISORS | EXECUTIVE SERVICES | DYNAMIC RETIREMENT SOLUTIONS | DRAWBRIDGE WEALTH | CAPITAL MARKETS IQ, LLC | CAMBRIDGE CAPITAL WEALTH | BURROS WEALTH MANAGEMENT | BRIGHTSMITH ADVISORS | BERING FINANCIAL | ACCORD CAPITAL
CRD#: 134921 / SEC#: 801-69992
RIA
Registered Investment Advisory firm - (4/3/2009 Approved)Texas
Registered Investment Advisory firm - (4/3/2009 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(9/30/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 5/1/1979
Registered Representative ExaminationPrincipal/Supervisory Exam
Current Firm
CM
CAPITAL MARKETS IQ, LLC
0X PRIVATE WEALTH | WEISE CAPITAL ADVISERS | VERACITY FINANCIAL SERVICES | VERACITY ADVISORS | THE SKYHAWK ETF STRATEGY | TANDEM FINANCIAL | SURETY WEALTH MANAGEMENT | SECURE RETIREMENT SOLUTIONS | SEAGATE GLOBAL WEALTH MANAGEMENT | SAGE CAPITAL ADVISORS | RETIRE ORLANDO | PENG FINANCIAL GROUP | NOBLESTONE CAPITAL ADVISORS | MONAMIE WEALTH & RETIREMENT | LONGHORN WEALTH MANAGEMENT, LLC | LONGHORN CAPITAL MANAGEMENT, LLC | LONGHORN CAPITAL ADVISORS | KUZMA FINANCIAL SERVICES | KOI STRATEGIES | KING HARBOR WEALTH MANAGEMENT | IQINVEST | INTRALINE ASSET MANAGEMENT | FIRST SECURITY INVESTMENTS ADVISORS | EXECUTIVE SERVICES | DYNAMIC RETIREMENT SOLUTIONS | DRAWBRIDGE WEALTH | CAPITAL MARKETS IQ, LLC | CAMBRIDGE CAPITAL WEALTH | BURROS WEALTH MANAGEMENT | BRIGHTSMITH ADVISORS | BERING FINANCIAL | ACCORD CAPITAL
CRD#: 134921 / SEC#: 801-69992
RIA
Registered Investment Advisory firm - (4/3/2009 Approved)Texas
Registered Investment Advisory firm - (4/3/2009 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Arlington, TX
Mailing Address
2810 N Church St Pmb 52811, Wilmington, DE 19802
Phone number
(310) 882-6380
Established
Firm type
Fiscal year end
# of Employees
26
SEC notice filing (30 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 827 |
| AUM (Assets Under Management) | $ 450,873,705 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/28/2025 | ||
| 08/22/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
