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James Patrick Whalen

Pathstone

Englewood, NJ

Alexandria, VA

CRD 5936940

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Employer firm

Pathstone CRD 151736

$110B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Pathstone

10 Sterling Blvd Suite 402, Englewood, NJ 07631 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2024-10-03
  • VA RA
    APPROVED
    Since 2024-10-03

Branch Locations

10 Sterling Blvd Suite 402, Englewood, NJ 07631 • United States

201 N Union St Suite 300, Alexandria, VA 22314 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Convergent Wealth Advisors Potomac MD 06/2011 10/2016
Pathstone Potomac MD 11/2016 12/2021
Pathstone Potomac MD 01/2022 Present
  • 06/2011 → 10/2016
    Convergent Wealth Advisors
    Potomac, MD
  • 11/2016 → 12/2021
    Pathstone
    Potomac, MD
  • 01/2022 → Present
    Pathstone
    Potomac, MD
Previous Registrations
  • 2011-12-23 → 2016-10-31
    Convergent Wealth Advisors, Llc
    California, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-12-22
  • S65 Uniform Investment Adviser Law Examination
    2011-12-22
Designations
  • Certified Financial Planner
Other Names
  • Jimmy Whalen

View on SEC IAPD

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