James Wagner Fields

Employer firm

Klingenstein Fields Advisors CRD 105907

$4.70B regulatory AUM

Reported services (Item 5G)

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

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

Current Employers

Klingenstein Fields Advisors

125 Park Avenue Suite 320, New York, NY 10017-5529 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-09-03

NY RA
APPROVED

Since 2021-09-03

Branch Locations

125 Park Avenue Suite 320, New York, NY 10017-5529 • 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

Organization	City	State	From	To
Klingenstein, Fields & Co., L.L.C.	New York	NY	01/2011	07/2020
Klingenstein, Fields & Co., L.P.	New York	NY	08/2020	Present

01/2011 → 07/2020

Klingenstein, Fields & Co., L.L.C.

New York, NY
08/2020 → Present

Klingenstein, Fields & Co., L.P.

New York, NY

Other Businesses

Since 2017, I am a Director representing the Registrant's Investment in Wealth PFM, LLC, based in Seattle, WA, is an investment related business specializing in software to track personal financial assets and flows. I advise on strategy for developing functionality in the software as well as on capital raising. I devote 1 to 2 hours per month to the business, inclusive of securities trading hours.