Philip M. Dorr

WATER VALLEY INVESTMENT ADVISORS

NAPERVILLE, IL

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CRD#: 1467676

Professional summary

Philip Melvin Dorr is a registered financial advisor currently at WATER VALLEY INVESTMENT ADVISORS, INC. located in Naperville, Illinois.

Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Philip has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Melvin Dorr's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 18, 2001 - Present

WATER VALLEY INVESTMENT ADVISORS, INC.

RIA

CRD#: 116936

NAPERVILLE, IL

Past

March 2, 1998 - December 8, 1999

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

November 14, 1994 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

July 26, 1990 - November 14, 1994

CLAYTON BROWN & ASSOCIATES, INC.

CRD#: 3664

CHICAGO, IL

Past

March 19, 1986 - July 6, 1990

BMO CAPITAL MARKETS GKST INC.

CRD#: 8352

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WATER VALLEY INVESTMENT ADVISORS, INC.

CRD#: 116936 / SEC#: 801-121860

RIA

Registered Investment Advisory firm - (7/23/2021 Approved)

Illinois

Registered Investment Advisory firm - (5/18/1998 Terminated)

Iowa

Registered Investment Advisory firm - (10/25/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(5/18/2001)

IAR

Iowa
(12/10/2021)

IAR

Texas
(12/6/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/17/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/25/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/15/1986

General Securities Representative Examination

Current Firm

WATER VALLEY INVESTMENT ADVISORS, INC.

CRD#: 116936 / SEC#: 801-121860

RIA

Registered Investment Advisory firm - (7/23/2021 Approved)

Illinois

Registered Investment Advisory firm - (5/18/1998 Terminated)

Iowa

Registered Investment Advisory firm - (10/25/2021 Terminated)

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Contact information

Main Address

313 Oak Hollow Way, Little Elm, TX 75068

Mailing Address

Phone number

(630) 926-0537

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WATER VALLEY FORM ADV PART 2 (4/1/2025)

Regulatory assets under management

Total Number of Accounts	151
AUM (Assets Under Management)	$ 141,151,068

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Philip M. Dorr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Melvin Dorr's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

CLAYTON BROWN & ASSOCIATES, INC.

BMO CAPITAL MARKETS GKST INC.

Primary Firm SEC Registration

WATER VALLEY INVESTMENT ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/17/2001

Series 63

Date: 8/25/1988

Series 7

Date: 3/15/1986

Current Firm

WATER VALLEY INVESTMENT ADVISORS, INC.

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATER VALLEY INVESTMENT ADVISORS, INC.

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