William Rockett is a CFA-designated registered investment advisor at Mercer Global Advisors INC., based in New York, NY, with 21 years of industry experience. William operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 9 more. Their firm serves 36,172 clients with $84B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.10% |
| $1.0M - $2.0M | 1.00% |
| $2.0M - $5.0M | 0.90% |
| $5.0M - $10.0M | 0.75% |
| $10M+ | 0.50% |
Schedule reflects the Custom Wealth and Ascend Group standard tiers. Other service levels such as Wealth Path and Guided Investing have different fee schedules and minimums.
Fee Estimator
Location
122 East 42nd Street, Suite 2805, New York, NY, 10168
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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.
Learn about disclosures →Other Business Activities
William is an adjunct professor of finance and business ethics at Fordham University since 2021, dedicating about 10-20% of his time. He is also an adjunct professor for an online MBA program at LaSalle University since 2023, spending a few hours per week.
Employment History
Current Registrations
Mercer Global Advisors INC.
Previous Registrations
Eaton Vance Management
Eaton Vance Distributors, INC.Broker
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
S F Sentry Securities, INC.Broker
Barclays Capital INC.Broker
Ust Financial Services CORP.Broker
Schroder & CO. INC.Broker
MML Investors Services, INC.Broker
State Registrations1 state
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
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