William Smith is a registered investment advisor at Rfg Advisory, LLC, based in Williamstown, KY, with 28 years of industry experience. William operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Investment Management, and 2 more. Their firm serves 13,845 clients with $6.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
RFG Advisory charges a fee based on a percentage of the value of your portfolio. This fee covers the Financial Advisor's services, an RFG platform fee (up to 0.50%), and potentially a strategist fee. The total fee can vary depending on the services provided and the Financial Advisor you work with. Fees are billed quarterly, in advance. Accounts under $10,000 managed through SMArtX incur an additional $10 per month platform fee.
Location
1408 N. Main Street, Williamstown, KY, 41097
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Regulatory History
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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William is a manager at E Thomas & Associates Inc., providing tax, accounting, and business services since 1993. This takes about half of his time and includes tax planning, business start-up services, and loan proposals.
Employment History
Current Registrations
Rfg Advisory, LLC
Previous Registrations
Arbor Point Advisors
Securities America Advisors, INC.
Securities America, INC.Broker
Dalton Strategic Investment Services INC.Broker
E.thomas & Associates INC.
Dalton Strategic Investment Services INC.Broker
H.D. Vest Investment Securities, INC.Broker
Fsc Securities CorporationBroker
H.D. Vest Investment Securities, INC.Broker
State Registrations2 states
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.