William Henry Van Pelt IV of Ridgeback Securities: What Investors Should Know

Research Report: William Henry Van Pelt IV – Ridgeback Securities, Houston, TX

Haselkorn & Thibaut, a national investor protection law firm, has opened an independent investigation into William Henry Van Pelt IV (CRD 1716622), currently a registered representative with Ridgeback Securities, Ltd. in Houston, Texas. If you are an investor with concerns about your account managed by Bill VanPelt IV, this research report will provide helpful details, outline potential red flags, and guide you on your next steps.

Who is William Henry Van Pelt IV?

VanPelt IV has been active in the securities industry since 1987 and has held positions with several firms, including The Baldwin Group Wealth Advisors, LLC, BKS Retirement Services, Emergent Capital Advisors, First Heartland Capital, and others. In addition to his securities work, he is affiliated with multiple business entities across different industries.

Examination of Publicly Available Disclosures and Complaints

• FINRA BrokerCheck Report:
  
  An updated search of FINRA BrokerCheck for William Henry Van Pelt IV (CRD 1716622) reveals NO customer complaints, regulatory actions, civil litigations, or financial disclosures reported to FINRA as of this report.
• SEC Enforcement:
  
  The SEC’s public databases contain no enforcement actions, administrative proceedings, or allegations involving William Van Pelt IV or Ridgeback Securities that would pertain to investor funds or fraudulent activity.
• Federal and State Records:
  
  Searches in PACER show no federal lawsuits filed against Bill VanPelt IV, Ridgeback Securities, or its predecessor related to investor disputes. Similarly, the Texas State Securities Board confirms no administrative fines or regulatory orders naming VanPelt IV.
• Media Search:
  
  There are no mainstream media reports or investigative articles referencing significant customer disputes or lawsuits involving Mr. VanPelt.

Summary of Prior Employment & Internal Allegations

While there are no public regulatory or legal complaints found, it is important for investors to be aware of the following employment separation:

• Separation from The Baldwin Group Wealth Advisors, LLC:
  
  On September 8, 2025, VanPelt IV was discharged based on internal allegations of failure to perform services in accordance with “all applicable laws” and noncompliance with that firm’s Code of Business Conduct and Ethics. Key findings, as reported in Form U5, included allegations of:
  • Not acting with honesty and integrity.
  • Failure to comply with applicable laws, rules, or regulations.
  • Failure to protect company assets against loss, theft, or misuse.

  These internal findings were not accompanied by any customer complaints or regulatory investigations, according to the present public records.

Key Considerations and Red Flags for Investors

• No customer complaints or regulatory actions are currently visible through public sources.
• The sole red flag is the recent discharge from a prior employer for internal policy and conduct violations.
  
  While this is not a regulatory finding, it can indicate underlying compliance or ethical concerns.
• No lawsuits, arbitrations, or media investigations have been reported against VanPelt IV, Ridgeback Securities, or related entities.

What Does This Mean for Current or Former Clients?

If you are working with, or have worked with, William Henry Van Pelt IV, and are worried about investment losses or the handling of your account, you should carefully review your account statements and all official communications. Sometimes, internal allegations at the firm level are not made public unless clients come forward, or unless they trigger action by FINRA, the SEC, or state regulatory bodies.

Haselkorn & Thibaut invites investors to have their account activity reviewed—at no cost—to assess whether losses or irregularities may have resulted from potential misconduct. Their experienced team, with more than 50 years of combined experience and a 98% success rate, has recovered millions for investors nationwide. No recovery, no fee.

What To Do Next?

• Review your account statements in detail for unauthorized transactions, excessive fees, high-risk products, or unexplained losses.
• Contact Haselkorn & Thibaut at 1-888-994-8066 for a free, confidential case consultation.
• Know your rights: If you have suffered losses or suspect irregularities, recovery may be possible through FINRA arbitration, a process specifically designed for investor disputes with brokers and broker-dealers.
• Stay proactive—Even if no formal regulatory disciplinary records exist, do not ignore advisory changes or employer disclosures that may affect your portfolio.

Complaints and Regulatory History Summary Table

Conclusion: Investor Guidance

While no public disclosures of customer harm or regulatory actions exist against William Henry Van Pelt IV, his recent discharge for internal allegations at a prior firm is a material issue for investor awareness. If you have any uncertainties about your investments or how your account was handled at Ridgeback Securities (or other affiliated entities), it is prudent to take action.

Contact Haselkorn & Thibaut at 1-888-994-8066 today for a free consultation with a securities attorney. There is no risk and no obligation. Your inquiry is confidential, and their experienced team is here to help you pursue any recovery to which you may be entitled.