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William Conn

International Assets Investment Management, LLC
40 Years of Experience
Oakland, CA
8 Disclosures
View SEC Summary
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William Conn is a registered investment advisor at International Assets Investment Management, LLC, based in Oakland, CA, with 40 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, Investment Management, Retirement Planning, and 1 more. Their firm serves 5,961 clients with $2.6B in assets under management.

International Assets Investment Management, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
121 advisors
Number of Clients
5,961 clients
Average Client Portfolio
$431K average
Assets Under Management
$2.6B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any3.00%

Fees are negotiable up to an annual maximum of 3.00% depending on portfolio size, transaction fee inclusion, and service complexity.

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

Location

4715 Park Blvd., Suite 4, Oakland, CA, 94602

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History

Regulatory History (8)
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.
Regulatory
April 2025
Final
Customer Dispute
July 2023
Denied
Customer Dispute
May 2023
Settled
Customer Dispute
November 2022
Settled
Employment Separation After Allegations
July 2022
Customer Dispute
September 2020
Settled
Customer Dispute
April 2001
Settled
Customer Dispute
December 2000
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

William co-owns a residential rental property since 2021, dedicating minimal time. He is also an advisor at International Assets Investment Management LLC and managing director at W.J. Conn Capital Corp., dedicating full-time hours to each, and successor trustee to his father's trust, dedicating minimal time.

Employment History
Current Registrations
International Assets Investment Management, LLC
September 2022 - Present · 4 yrs 1 mo
Previous Registrations
International Assets Advisory, LLCBroker
September 2022 - October 2023 · 1 yr 1 mo
Raymond James & Associates, INC.Broker
May 2018 - August 2022 · 4 yrs 3 mos
Raymond James & Associates, INC.
May 2018 - August 2022 · 4 yrs 3 mos
J.P. Morgan Securities LLC
March 2012 - May 2018 · 6 yrs 2 mos
J.P. Morgan Securities LLCBroker
March 2012 - May 2018 · 6 yrs 2 mos
Deutsche Bank Securities INC.
June 2001 - April 2012 · 10 yrs 10 mos
Deutsche Bank Securities INC.Broker
January 2001 - April 2012 · 11 yrs 3 mos
Db Alex. Brown LLCBroker
January 2000 - January 2001 · 1 yr
Salomon Smith Barney INC.Broker
September 1993 - January 2000 · 6 yrs 4 mos
Painewebber IncorporatedBroker
June 1989 - September 1993 · 4 yrs 3 mos
Gliksman Securities CORP.Broker
August 1986 - July 1989 · 2 yrs 11 mos
State Registrations1 state
CA
Advisor

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Exams
No exam information available for this advisor.
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