Data / Investment advisers / California / Williams & Novak Wealth Management, LLC
Williams & Novak Wealth Management, LLC, Westlake Village, CA: $343 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Williams & Novak Wealth Management, LLC is an SEC registered investment adviser with its main office in Westlake Village, California and reports $343 million in regulatory assets under management in its Form ADV filed September 16, 2026. Its clients include high net worth individuals, individuals and pension and profit sharing plans. It is paid through a percentage of assets under management, hourly charges and fixed fees.
The request: Watch Williams & Novak Wealth Management, LLC (CRD number 324173): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 324173
- SEC file number
- 801-128269
- SEC status
- Approved, effective July 6, 2023
- Main office
- 2625 Townsgate Road Suite 330, Westlake Village, CA 91361
- Phone
- (626) 689-7181
- Regulatory AUM
- $342,843,364 in the Form ADV filed September 16, 2026
- Discretionary AUM
- $342,843,364
- Accounts
- 1,036
- Employees
- 10, of which 4 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, hourly charges, fixed fees
- Other offices
- 5
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- September 16, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 107 | $298.1 million |
| Individuals (other than high net worth individuals) | 168 | $36.1 million |
| Pension and profit sharing plans | 10 | $7.8 million |
| Charitable organizations | Fewer than 5 | $878,651 |
| Corporations or other businesses | Fewer than 5 | $14,457 |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $342.8 million | March 31, 2026 |
| December 1, 2025 | $263.9 million | September 22, 2025 |
Other advisers in Westlake Village
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Alliance Advisory & Securities, LLC | Westlake Village | $687.4 million | Not listed | adviserinfo.sec.gov |
| Cruden Bay Investment Management, LLC | Westlake Village | $663.1 million | Not listed | adviserinfo.sec.gov |
| FMB Wealth Management | Westlake Village | $615.7 million | Not listed | adviserinfo.sec.gov |
| Alteri Wealth | Westlake Village | $566.1 million | Not listed | adviserinfo.sec.gov |
| Oak Asset Management, LLC | Westlake Village | $413.8 million | Not listed | adviserinfo.sec.gov |
| Sherwood Financial Partners, LLC | Westlake Village | $293.8 million | Not listed | adviserinfo.sec.gov |
| Village Wealth Advisors | Westlake Village | $257.9 million | Not listed | adviserinfo.sec.gov |
| Winters Financial Group, Inc. | Westlake Village | $252.3 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Westlake Village, CA
- Investment advisers in California
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Williams & Novak Wealth Management, LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.