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William John Nasgovitz

Heartland Advisors, INC.
56 Years of Experience
10 DisclosuresBroker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Heartland Advisors, INC.
Compensation
Fee-Only (AUM)
Firm Size
13 advisors
Number of Clients
88 clients
Average Client Portfolio
$21.4M average
Assets Under Management
$1.9B

Fee Structure

Minimum Investment:$1M
Financial Planning:Investment management only
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $5.0M1.00%
$5.0M - $15.0M0.85%
$15M+0.85%

Fees negotiable above $15,000,000.

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

Location

790 N Water Street Suite 1200, Milwaukee, WI, 53202

Get directions

History

Regulatory History (10)
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 2008
Final
Customer Dispute
November 2005
Settled
Customer Dispute
December 2002
Settled
Customer Dispute
July 2001
Settled
Customer Dispute
March 2001
Settled
Customer Dispute
January 2001
Settled
Customer Dispute
December 2000
Settled
Customer Dispute
November 2000
Settled
Customer Dispute
October 2000
Denied
Regulatory
November 1991
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

William is the CEO of Heartland Advisors, dedicating full-time hours to investment management. He is also a Registered Representative with ALPS Distributors, Inc., also dedicating full-time hours, and a board member of the Milwaukee County War Memorial Center, dedicating minimal time.

Employment History
Current Registrations
Alps Distributors, INC.Broker
August 2007 - Present · 18 yrs 6 mos
Heartland Advisors, INC.
October 2003 - Present · 22 yrs 4 mos
Previous Registrations
Heartland Investor Services, LLCBroker
March 2003 - July 2007 · 4 yrs 4 mos
Heartland Advisors, INC.
January 2002 - October 2003 · 1 yr 9 mos
Heartland Advisors, INC.Broker
March 1992 - October 2003 · 11 yrs 7 mos
Dain Bosworth IncorporatedBroker
October 1988 - June 1992 · 3 yrs 8 mos
The Milwaukee CompanyBroker
September 1978 - October 1988 · 10 yrs 1 mo
Dean Witter Reynolds INC.Broker
February 1978 - November 1978 · 9 mos
Dean Witter & CO. IncorporatedBroker
April 1969 - February 1978 · 8 yrs 10 mos
State Registrations39 states
AKALAZCACOCTDCDEIDILINKYLAMAMDMNMOMSMTNCNENHNMNVNYOKPAPRRISCSDTNTXUTVAVirgin IslandsWIWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
William John Nasgovitz - Financial Advisor | TrueAdvisor