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CFP

Lance Williams

Rockefeller Capital Management
33 Years of Experience
Olympia, WA
Broker
View SEC Summary
View SEC Summary

Lance Williams is a CFP-designated registered investment advisor at Rockefeller Capital Management, based in Olympia, WA, with 33 years of industry experience. Lance is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 50,292 clients with $100B in assets under management.

Rockefeller Capital Management
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1037 advisors
Number of Clients
50,292 clients
Average Client Portfolio
$2.0M average
Assets Under Management
$99.6B

Fee Structure

Planning is included in investment management (also available separately)
Minimum Annual Fee:$5,000
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Non-discretionary investment advisory and consulting fees are negotiable and max out at 2% of assets under management. Retirement plan services charge up to 1.25% with a $5,000 minimum annual fee.

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

Location

711 S Capitol Way, Suite 705, Olympia, WA, 98501

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Rockefeller Capital Management
June 2021 - Present · 5 yrs 4 mos
Rockefeller Financial LLCBroker
June 2021 - Present · 5 yrs 4 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - June 2021 · 11 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - June 2021 · 11 yrs 8 mos
Banc of America Investment Services, INC.
April 2003 - October 2009 · 6 yrs 6 mos
Banc of America Investment Services, INC.Broker
April 2003 - October 2009 · 6 yrs 6 mos
Wells Fargo Investments, LLCBroker
May 2001 - May 2003 · 2 yrs
Wells Fargo Securities INC.Broker
August 1996 - May 2001 · 4 yrs 9 mos
First Interstate Investments,inc.Broker
August 1995 - August 1996 · 1 yr
Essex National Securities, INC.Broker
January 1995 - November 1995 · 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1992 - December 1994 · 2 yrs 1 mo
State Registrations30 states
AKARAZCACOFLHIIDILKYMAMEMIMNMOMTNCNHNJNVNYOHOKORPASCTXUTVAWA
AdvisorBrokerBoth

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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