SW
SW
Susan Williams is a registered investment advisor at Stock Management LLC, based in Puyallup, WA, with 24 years of industry experience. Susan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 419 clients with $130M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
2 advisors
Number of Clients
419 clients
Average Client Portfolio
$305K average
Assets Under Management
$128.0M
Fee Structure
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $15K | 2.50% |
| $15K - $50K | 2.00% |
| $50K - $100K | 1.00% |
| $100K - $1.0M | 0.50% |
| $1M+ | 0.25% |
Fees are based on billable assets, which exclude bonds and only include half of the mutual fund total. Fees may be waived or decreased for employees and non-profit organizations.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
Loading...
Location
Puyallup, WA
Get directionsHistory
Regulatory History (1)
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
January 2022Final
Employment History
Current Registrations
Stock Management LLC
December 2001 - Present · 24 yrs 5 mos
State Registrations5 states
CAFLORVAWA
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.