William Ross Small

Current Employers

Employment History

• 11/1976 → Present
  Kings Management Company
  Mt Ephraim, NJ
• 09/2010 → 07/2019
  Capitol Securities Management, Inc
  Mt Ephraim, NJ
• 09/2001 → Present
  Risk Management Advisory Services, Inc.
  Mt Ephraim, NJ
• 10/2018 → Present
  Taap Llc
  Square, PA
• 07/2019 → Present
  J Alden Associates, Inc.
  Jenkintown, PA
• 07/2019 → Present
  Alden Capital Management
  Jenkintown, PA

Previous Registrations

• 2010-02-25 → 2010-10-06
  Independent Advisers Group Corp
  Mt. Ephraim, NJ
• 2006-01-05 → 2009-11-13
  Independent Advisers Group Corp
  Mt Ephraim, NJ
  Boston, MA

Other Businesses

1) Name of Business: Kings Management Company Investment-related: YES Address:420 BENIGNO BLVD 1ST FLOOR; KOR E. UNIT A, BELLMAWR, NJ 08031 Nature of other business:INSURANCE SALES&ESTATE WORK Title with the other business: PRESIDENT Start:1976 Approx#of hours/month you devote to the other business: 60 Approx#of hours/month you devote to the other business during securities trading hours: 60 Duties relating to the other business: PAPERWORK & CLIENT MEETINGS 2) Name of Business: SKS PLAN ADMINISTRATION, INC Investment-related: YES Address:420 BENIGNO BLVD 1ST FLOOR; KOR EAST UNIT A, BELLMAWR, NJ 08031 Nature of the other business: THIRD PARTY ADMINISTRATORS FOR PENSION/RETIREMENT PLANS Title with the other business: President Start date: 1980 Approx#of hours/month you devote to the other business:8 Approx#of hours/month you devote to the other business during securities trading hours:8 Duties relating to the other business: 3rd PARTY ADMINISTRATORS FOR PENSION/RETIREMENT PLANS 3) Name of Business: RISK MANAGEMENT ADVISORY SERVICES, INC. Investment-related: YES Address: 420 BENIGNO BLVD 1ST FLOOR; KOR EAST UNIT A, BELLMAWR, NJ 08031 Nature of the other business: Independent RIA Position, title, or relationship with the other business: President Start date: 2002 Approx# of hours/month you devote to the other business: 4-40 Approx# of hours/month you devote to the other business during securities trading hours: 4-40 Describe your duties relating to the other business: Paperwork & Client Meetings 4) Trust account:CORNELIA S HAINES CHARITABLE TRUST Trustee on account 5) Trust account:[REDACTED] FAMILY TRUST Trustee on account 6) Trust account:[REDACTED] FAMILY TRUST Trustee on account 7) Trust account:RICHARD AND RUTH SLIWINSKI CHARITABLE TRUST Trustee on account 8)Trust account:TRUSTEE OF [REDACTED] IRREVOCABLE TRUST Trustee on client account. Relationship of grantor: client 9)Trust account: TRUSTEE OF [REDACTED] TRUST #1 Trustee on client account Relationship of grantor:client 10)Trust account: Kings Management Company 401(k) Profit Sharing Trustee on Account 11)Trust account: Kings Management Company Pension Plan Trustee on Account 12)Name of Business: TAAP LLC Investment-related: No Address: 580 Schoolhouse Road Kennett Square, PA 19348 Nature of the other business: Management Company Position, title, or relationship with the other business: Sole Owner Start date: 10/9/18 Approx# of hours/month you devote to the other business: 1 Approx#of hours/month you devote to the other business during securities trading hours: 1 Duties relating to the other business: Administrative 13. Trust account:TRUSTEE OF [REDACTED] Family Trust Co-Trustee on client account. 14. Trustee - [REDACTED] Trust for IRA Benefits - additional trust account for the existing [REDACTED] Trust 15. Trustee - [REDACTED] Trust for IRA Benefits - additional trust account for the existing [REDACTED] Trust 16. Trustee - [REDACTED] Trust for IRA Benefits - additional trust account for the existing [REDACTED] Trust 17. Insurance license

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-07-16
• S63 Uniform Securities Agent State Law Examination
  1986-06-11