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William Upson

Nwf Advisory Services INC
41 Years of Experience
Walnut Creek, CA
2 DisclosuresSells Insurance
View SEC Summary
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William Upson is a registered investment advisor at Nwf Advisory Services INC, based in Walnut Creek, CA, with 41 years of industry experience. William operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, High Net Worth, Insurance Planning, Investment Management, and 2 more. Their firm serves 11,433 clients with $6.4B in assets under management.

Nwf Advisory Services INC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
108 advisors
Number of Clients
11,433 clients
Average Client Portfolio
$562K average
Assets Under Management
$6.4B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $100K2.10%
$100K - $250K2.10%
$250K - $500K1.88%
$500K - $750K1.65%
$750K - $1.2M1.43%
$1.3M - $2.0M1.20%
$2.0M - $5.0M0.97%
$5.0M - $25.0M1.00%
$25M+0.78%

Fees are negotiable. Different programs such as Model Portfolios and WMAP charge a maximum fee of 1.50% up to $25,000,000 and 1.00% above that.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1999 N. California Blvd., Suite 830, Walnut Creek, CA, 94596

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2008
Closed-No Action
Customer Dispute
April 1989
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

William is involved in several outside business activities. These include being president of St Bernie's Press, owner of Strategic Asset Management Group (where he sells securities and insurance), staff advisor at NWF Advisory, board member and president of Las Aguilas de Diablo/Eagle Scholarship Foundation, and president/sole shareholder of UW Resource Group, Inc.

Employment History
Current Registrations
Nwf Advisory Services INC
March 2009 - Present · 17 yrs 7 mos
Previous Registrations
Sterling Financial Services, INC
October 1999 - March 2009 · 9 yrs 5 mos
Osaic Wealth, INC.
July 1997 - October 2025 · 28 yrs 3 mos
Osaic Wealth, INC.Broker
November 1989 - October 2025 · 35 yrs 11 mos
Integrated Resources Equity CorporationBroker
April 1986 - November 1989 · 3 yrs 7 mos
Hornblower, Upson, Monfils & Proescher, InvestmentsBroker
November 1985 - April 1986 · 5 mos
Oak Creek Securities, IncorporatedBroker
August 1985 - March 1986 · 7 mos
Southmark Financial Services, INC.Broker
March 1985 - August 1985 · 5 mos
State Registrations1 state
CA
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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