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WILLIS ASSET FINANCE MANAGEMENT LLC

COCONUT CREEK, FL · CRD 337254 · IAPD ↗ · (561) 349-9989

$349.0MRegulatory AUM
15Advisory reps
17Employees
0Clients
n/aPlanning clients
5Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

58
May 2026 — WILLIS ASSET FINANCE MANAGEMENT LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
53
April 2026 — WILLIS ASSET FINANCE MANAGEMENT LLC now reports custody of client assets ($698.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
58
April 2026 — WILLIS ASSET FINANCE MANAGEMENT LLC now reports 5 private fund(s) ($349.0M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
63
April 2026 — WILLIS ASSET FINANCE MANAGEMENT LLC grew from 5 to 15 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
85
January 2026 — WILLIS ASSET FINANCE MANAGEMENT LLC (COCONUT CREEK, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.