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William Fleming

Advisory Services Network
40 Years of Experience
Castle Rock, CO
1 DisclosureSells Insurance
View SEC Summary
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William Fleming is a registered investment advisor at Advisory Services Network, based in Castle Rock, CO, 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 Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 7 more. Their firm serves 12,919 clients with $11B in assets under management.

Advisory Services Network
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
251 advisors
Number of Clients
12,919 clients
Average Client Portfolio
$820K average
Assets Under Management
$10.6B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.25%
$500K - $2.0M1.75%
$2.0M - $5.0M1.50%
$5M+1.25%

All fees are negotiable at the firm's discretion. The firm also offers a floating flat rate schedule using the same percentage breakpoints applied to total account assets.

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

Location

509 N Wilcox Street, Suite 101, Castle Rock, CO, 80104

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History

Regulatory History (1)
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Customer Dispute
July 2013
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

William is an IAR with Advisors Services Network and an agent with Makkai Capital Group, both RIAs. He also owns WJFJ, Inc., which was initially set up for tax purposes, but is now also used for insurance sales and life annuities.

Employment History
Current Registrations
Advisory Services Network
March 2019 - Present · 7 yrs 7 mos
Previous Registrations
Calton & Associates, INC.Broker
March 2019 - September 2025 · 6 yrs 6 mos
Western Wealth Management LLC
June 2016 - March 2019 · 2 yrs 9 mos
Western Wealth Management LLC
March 2016 - June 2016 · 3 mos
LPL Financial LLCBroker
September 2009 - April 2019 · 9 yrs 7 mos
LPL Financial Corporation
September 2009 - March 2010 · 6 mos
Gallacher Capital Management, LLC
August 2009 - March 2016 · 6 yrs 7 mos
Mutual Service Corporation
June 2004 - September 2009 · 5 yrs 3 mos
Mutual Service CorporationBroker
July 1986 - September 2009 · 23 yrs 2 mos
State Registrations2 states
COTX
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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