Overview
Watts Gwilliam & Company LLC was established in May of 2004. The founding members
include Jeffrey Stephen Watts, D. Bradford Gwilliam and David Bruce Watts. As of March 2023,
the firm has total assets under management of approximately $586 Million, managed on a
discretionary basis.
Investment Advisory Services
The primary business of Watts Gwilliam & Co., LLC is to provide investment supervisory
services. This is done through ongoing portfolio management and oversight. Prior to providing
investment advisory services, our process includes an assessment of each client’s individual
needs, goals, risk appetite, and time horizon. Thereafter, Watts Gwilliam will allocate, and/or
recommend that the client allocate, investment assets consistent with the designated investment
objectives. The client may, at any time, impose reasonable restrictions, in writing, on our services.
Portfolios receive on-going monitoring and reviews with proactive re-balancing of asset
allocation as necessary.
Optic Asset Management
Optic Asset Management (OAM) is a division of Watts Gwilliam & Co. that oversees the
company’s professionally managed option strategies (see Item 8 below). Some clients may
engage our firm for
the sole purpose of accessing this strategy and not engaging in other broad-
based wealth management services. This is also the name through which we typically offer sub-
advisory services. In these situations, advisors unaffiliated with Watts Gwilliam & Co. outsource
the investment supervisory services of certain clients to our firm. Details of these arrangements
are further discussed in the section entitled Other Financial Industry Activities and Affiliations.
Types of Securities
Watts Gwilliam & Co. generally limits its money management to Equities, ETFs, Mutual Funds,
Bonds, Fixed income, Debt Securities, Hedge Funds, REITs, Private Placements, Government
Securities and both listed and over-the-counter options. We may use other securities as well to
help diversify a portfolio when applicable.
Financial Planning
On certain occasions, we advise clients on matters not directly involving securities. This general
guidance, commonly considered Financial Planning, may include advice related to issues such as
retirement, education, and estate planning. Often, the result of this planning is used to better
advise the client on issues related to the investment supervisory services discussed previously.