Alan Mitchell Harter
Professional Summary
Alan Mitchell Harter, who also goes by Alan M Harter, is a registered financial advisor currently at PACTOLUS located in Vienna, Virginia and PACTOLUS CAPITAL PARTNERS located in Vienna, Virginia. Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Alan has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Alan M Harter
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
MWH ADVISERS LLC | PACTOLUS PRIVATE WEALTH MANAGEMENT LLC | PACTOLUS
Contact Information
Main Address
8614 Westwood Center Drive Suite 620, Vienna, VA 22182Phone Number
(571) 297-6364# of Employees
17SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
447AUM (Assets Under Management)
$187,843,313Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | Cover Page | Report |
| 11/22/2024 | Cover Page | Report |
| 10/27/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
MWH ADVISERS LLC | PACTOLUS PRIVATE WEALTH MANAGEMENT LLC | PACTOLUS
State Registrations and Notice Filings
(8/30/2019)
(10/11/2019)
(9/23/2019)
(9/21/2017)
(11/19/2019)
(9/27/2019)
(3/28/2021)
(3/2/2023)
(9/3/2019)
(4/1/2021)
(12/3/2019)
(1/28/2011)
(10/14/2014)
(4/1/2021)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Nov 2016About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Alan Mitchell Harter's CRS (Customer Relationship Summary).
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