Advisor Overview – William Henry Van Pelt IV (Ridgeback Securities, Ltd. – Houston, TX)
- Full Name: William Henry Van Pelt IV (also known as Bill VanPelt IV)
- CRD Number: 1716622
- Location: Houston, TX
- Current Broker-Dealer: Ridgeback Securities, Ltd. (formerly Mid-Continent Securities)
- Office Address: 1218 Webster Street, Houston, TX 77002
Professional History: Key Employment Timeline
- The Baldwin Group Wealth Advisors, LLC (2024–2025)
- BKS Retirement Services (2021–2024)
- Emergent Capital Advisors, LLC (2020–2022)
- First Heartland Capital, Inc. (2016)
- American General Securities Incorporated (1995–2000)
- Advantage Capital Corporation (1993–1994)
- Portfolio Asset Management/USA Financial Group, Inc. (1992–1993)
- Capital Analysts Incorporated (1987–1992)
Other Business Affiliations:
- MCSALGP, LLC
- Insurance Underwriting Services, LLC
- Capital Financial Group, Inc.
- Donovan Marine
- Preserve Hickory Skiing
- Mississippi Export Railroad
- Kimichan Corporation
- Rudolph Texas Investments
- Mid-Continent Metals Group
- Great Basis Investors
- CFG Capital Sources
Recent Developments and Red Flags: What Investors Should Know
In September 2025, William Henry Van Pelt IV was discharged from The Baldwin Group Wealth Advisors, LLC and affiliated entities following internal allegations of misconduct. According to his Form U5 termination notice, the firm cited his “failure to perform services in accordance with all applicable laws” and “failure to comply with the company’s Code of Business Conduct and Ethics.”
The firm further alleged that Mr. Van Pelt IV did not uphold their standards for honesty and integrity, compliance with laws and regulations, and proper stewardship of company assets. This kind of disclosure is significant for investors who may be concerned about the suitability of recommendations and the handling of their investments.
Complaints, Regulatory Actions, and Public Disclosures: Comprehensive Overview
| Type | Status/History (as of June 2024 – November 2025) |
|---|---|
| Customer Complaints (FINRA BrokerCheck) | No customer-initiated complaints, claims, or arbitrations reported under William Henry Van Pelt IV’s record at this time. Investors are encouraged to review his BrokerCheck profile for any updates. |
| Regulatory Actions (FINRA / SEC / State) | No disciplinary actions, investigations, or regulatory orders have been disclosed by FINRA, the SEC, or state securities regulators up to June 2024. |
| Civil Litigation (Federal & State Dockets) | No civil lawsuits, judgments, or legal actions involving Mr. Van Pelt IV were found in federal or state court databases through to June 2024. |
| Bankruptcies / Tax Liens / Judgments | No reported bankruptcies, tax liens, or outstanding judgments against Mr. Van Pelt IV. |
| Criminal Disclosures | No criminal disclosures recorded. |
What Does This Mean for You as an Investor?
While regulatory records as of mid-2024 reflect no customer complaints or enforcement actions against William Henry Van Pelt IV, the recent discharge from Baldwin Group Wealth Advisors based on internal misconduct allegations should not be overlooked. If you are a current or former client of William H. Van Pelt IV, now is the ideal time to review your investment history and ensure your account was handled appropriately.
Sudden departures or terminations from prominent firms—particularly for violations involving integrity and regulatory compliance—can sometimes indicate deeper issues. Even absent formal complaints, such events are considered red flags by many industry observers.
What Should You Do Next?
- Double-check your recent investment statements and trade confirmations for any unfamiliar activity or unsuitable recommendations.
- If you have concerns about the way your assets were managed—or if you sustained losses—consider a thorough, confidential evaluation with an experienced securities attorney.
- Watch for updates on regulatory websites and periodically review your advisor’s disclosures.
How Haselkorn & Thibaut Can Help
Haselkorn & Thibaut is a national law firm dedicated exclusively to representing investors in securities fraud and investment loss matters. With over 50 years of experience, a 98% success rate, and millions recovered for clients nationwide, our attorneys handle cases involving unsuitable recommendations, unauthorized trading, breach of fiduciary duty, and other forms of broker misconduct.
Our legal team is prepared to evaluate your situation, analyze your account activity, and explain your recovery options. There are no fees unless we recover money for you.
Take Action – Free, Confidential Consultation
If you have questions, concerns, or have suffered losses in a brokerage account managed by William Henry Van Pelt IV of Ridgeback Securities, Ltd. in Houston, TX, reach out today for a complimentary consultation with Haselkorn & Thibaut at 1-888-994-8066.
Our experienced investment fraud attorneys are here to help you understand your rights, with no obligation and no cost unless we recover your losses.
